Broker-Dealers

Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models

May 5, 2011

Legal Risk Management Tips

Ongoing SEC Focus: Regulation S-P And Consumer Privacy

April 1, 2011

Form ADV & Disclosure Documents

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

March 31, 2011

Filings & Registrations

SEC Proposes Significant Reporting Requirements For Investment Advisers To Private Funds

February 1, 2011

Broker-Dealers

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

January 31, 2011

Filings & Registrations

The SEC Proposes New Exemptions For Advisers To Venture Capital Funds

December 29, 2010