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Form ADV & Disclosure Documents

The SEC Issues Responses To Form ADV Part 2 And Pay-to-play Rule Frequently Asked Questions

March 31, 2011

The SEC Issues Responses To Form ADV Part 2 And Pay-to-play Rule Frequently Asked Questions

Filings & Registrations

SEC Proposes Significant Reporting Requirements For Investment Advisers To Private Funds

February 1, 2011

SEC Proposes Significant Reporting Requirements For Investment Advisers To Private Funds

Broker-Dealers

The SEC Approves New, Expanded Rules On Know Your Customer And Suitability

January 31, 2011

The SEC Approves New, Expanded Rules On Know Your Customer And Suitability

Filings & Registrations

The SEC Proposes New Exemptions For Advisers To Venture Capital Funds

December 29, 2010

The SEC Proposes New Exemptions For Advisers To Venture Capital Funds

Legal Risk Management Tips

DOL Proposes Expansive New Definition Of “Fiduciary” Under ERISA

November 29, 2010

DOL Proposes Expansive New Definition Of

Legal Risk Management Tips

SEC Proposes “Say-on-Pay” Regulation And Its Impact To Institutional Investment Managers

October 29, 2010

SEC Proposes