Recent SEC Activities

Are you aware of the recent SEC activity relating to investment advisers? The Securities and Exchange Commission (“SEC”) is now looking into advisory firms’ liquidity risk management in current exams.... [...]

The Securities and Exchange Commission (“SEC”) is continuing to focus on their exam initiative. They are working to complete more exams than ever before, especially for those firms that have... [...]

The Securities and Exchange Commission (“SEC”) has fined and censured a broker-dealer/registered investment adviser $450,000, fined and suspended a supervisor for twelve months for failing to stop two rogue brokers... [...]

The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning... [...]

With advances in technology providing access to more information and opinion than ever before, investment advisers (IA) and investment advisory representatives (IAR) must be vigilant in how they use Social... [...]

It may only be the beginning of August, but it’s time to start focusing on the end of year routine all registered investment advisers must endure in order to remain... [...]