Learn more below about the Investment Advisers Act of 1940 and how it applies to your RIA firm.
CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).
At the beginning of June, the SEC announced settlements against 13 private fund advisers for failing to provide the required information in Form PF.
The SEC’s stance on its not-yet-effective liquidity rule appears fluid, as commissioners push to abandon part of the rule and certain division heads move on to other topics.
For years now, there's been increasing development in fintech, but it's focused mostly on investing, trading, and business development applications.
Given that the SEC recently submitted for public comment proposed rules for standards of conduct for investment professionals, Director Blass’ comments give a concise roadmap of the proposed rules.
In January 2018, The SEC’s Fort Worth regional office held a teleconference that summarized the SEC’s 2017 exam findings and its <focus areas for 2018.
In May, we discussed eight things that you needed to know about the liquidity rule. Here's an update to that post.
The SEC has finally proposed a rule that will help clarify the distinction between brokers that refer to themselves as "financial advisors" and investment advisers.
