The SEC Adopts Final Rules for Private Fund Advisers

The SEC Adopts Final Rules for Private Fund Advisers

Transition Period Announced for New Roth Catch-Up Contribution Requirement

Transition Period Announced for New Roth Catch-Up Contribution Requirement

Cryptocurrency – Don’t Look Now, But Here Comes the Tax Man January 2022

Cryptocurrency – Don’t Look Now, But Here Comes the Tax Man January 2022

Yet Another Assortment of . . .

Yet Another Assortment of . . .

More Thoughts, Ideas and uh, Brain Droppings

More Thoughts, Ideas and uh, Brain Droppings

FINRA Revises Its Sanctions Guidelines

FINRA Revises Its Sanctions Guidelines

BDs And RIAs Need To Ensure That They Are Complying With Reg S-P

BDs And RIAs Need To Ensure That They Are Complying With Reg S-P

SEC Issues Risk Alert on New Investment Adviser Marketing Rule

SEC Issues Risk Alert on New Investment Adviser Marketing Rule

SEC Division of Examinations Issues ESG Risk Alert

SEC Division of Examinations Issues ESG Risk Alert

Practus Summary: FINRA Examination Priorities for 2021

Practus Summary: FINRA Examination Priorities for 2021

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule

Definition of an Advertisement Under the Investment Adviser Marketing Rule

Definition of an Advertisement Under the Investment Adviser Marketing Rule

General Prohibitions Under the Investment Adviser Marketing Rule

General Prohibitions Under the Investment Adviser Marketing Rule

Performance Presentations Under the Investment Adviser Marketing Rule

Performance Presentations Under the Investment Adviser Marketing Rule

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule

Compliance Reviews, Form ADV Amendments & Recordkeeping

Compliance Reviews, Form ADV Amendments & Recordkeeping

OCIE Observations: Investment Adviser Compliance Programs

OCIE Observations: Investment Adviser Compliance Programs

Q&A: SEC Modernizes Fund Derivatives Rule 18f-4

Q&A: SEC Modernizes Fund Derivatives Rule 18f-4

OCIE Issues Risk Alert About Compliance in the COVID-19 Era

OCIE Issues Risk Alert About Compliance in the COVID-19 Era

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