A New Chapter for the SEC Fort Worth Office

In the aftermath of Allen Stanford’s $7 billion Ponzi scheme and blistering congressional and SEC reviews, the Fort Worth office is under new management and rebuilding its reputation into one... [...]

At the recent National Society of Compliance Professionals conference October 22, 2012, Carlo di Florio, the SEC’s Director of the Office of Compliance Inspections (“OCIE”) and Examinations, instructed broker-dealers and... [...]

Based upon coordinated examinations of broker-dealers throughout the United States, the North American Securities Administrators Association (NASAA) has identified the top compliance violations and offered a series of recommended best... [...]

Revised provisions under the Advisers Act, Rule 205-3, are effective as of 5/22/2012. As an Investment Adviser, you may charge performance based fees providing natural person(s) meet minimum assets under... [...]

An investment adviser meeting all of the following will be required to file Form PF: the adviser is an SEC-registered investment adviser or an SEC-registered investment adviser that is also... [...]

With new regulations and registration requirements, the middle part of 2012 looks to be a busy one with compliance dates around every corner. Planning ahead to meet compliance obligations is... [...]