With Summary of 50 State Exemptions
The Investment Advisers Act of 1940
The Investment Company Act of 1940
The Securities Act of 1933
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
