Stay out of FINRA-regulated hot water with these broker-dealer best practices
What the SEC plans to focus on this year
Raising money via "public solicitation" may have just gotten easier
How to Comply with the “Pre-existing, Substantive Relationship” Test
Key Deadlines, Recent Developments, and Steps to Prepare for CTA Reporting
Common pitfalls in the investment management industry
What to include (and exclude) in your marketing materials
With Summary of 50 State Exemptions
The Investment Advisers Act of 1940
The Investment Company Act of 1940
The Securities Act of 1933
