The SEC is contemplating delaying the “forced” transition from SEC to State registration for investment advisers with less than $100 million in assets under management until Q1 2012. Originally slated for later this year, apparently the IARD system is ill-equiped … Continued
Dear Compliance Professional, This past Friday (November 19th), the SEC proposed new rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). This brief Compliance Alert addresses one aspect of those proposed rule changes … Continued
Dear Compliance Professional, Big doings are certainly afoot in the regulatory world. Did I say big? These “doings” are of gargantuan proportions – earth shattering, paradigm shifting, game changing doings that will affect every financial services firm including all SEC … Continued