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…

2012 is moving quickly and the first quarter has drawn to a close. Here’s a round-up of key regulatory news and compliance dates which occurred in Q1 2012, as well…

The final rule is designed to help clients understand the fees that are being charged so they determine whether they are reasonable. It’s your job to meet these new disclosure…

As the first quarter of 2012 winds down, is your firms’ compliance house in order? Do you feel prepared to meet your compliance obligations or do you find yourself putting…

Massachusetts enacted 201 CMR 17.00: Standards for the Protection of Personal Information of Residents of the Commonwealth, new regulation regarding the safeguarding of Massachusetts residents personal information, in 2009 with…

The U.S. Securities and Exchange Commission (“SEC”) has modified the rules used to determine whether an individual is qualified as an accredited investor. To qualify as an “accredited investor” an…

In 2006 when the SEC implemented Rule 206(4)-7 of the Investment Advisers Act, the “Compliance Rule”, we all knew it was only a matter of time before the deficiencies resulting…

Full and complete disclosure to your clients is a critical component of your advisory business. This was illustrated perfectly today when the SEC charged a prominent San Diego-based financial advisor…

Based upon Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission voted this week to propose rules that lay out the process…

It is official, social media madness has taken over. Do you feel like you are behind the times because you do not have a social media presence? Not sure how…

On September 13th , the House Committee on Financial Services held a hearing to discuss forming a self-regulatory organization (“SRO”) for investment advisers. There have been three options floating around…