Investment Advisers

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The JOBS Act Turns One

By David Jenson on 04/08/2013

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SEC Comments on Broker-Dealer Registration by Private Fund Advisers

By David Jenson on 04/05/2013

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Accredited Crowdfunding, Internet Advertising and General Solicitation

By Jill Radloff on 04/04/2013

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Changes to Proposed Investment Adviser Legislation

By David Jenson on 03/30/2013

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SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

By Steve Quinlivan on 03/29/2013

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Proposed Minnesota Investment Adviser Legislation

By David Jenson on 03/16/2013

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SEC Considering Changes to Advertising Rules by Hedge Funds and Private Equity

By Steve Quinlivan on 03/12/2013

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SEC Charges Private Equity Fund Advisers with Misleading Investors about Valuation and Performance

By Steve Quinlivan on 03/11/2013

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SEC Charges Private Equity Group For Using Unregistered Broker

By Steve Quinlivan on 03/11/2013

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SEC Finding Some Hedge Funds and Private Equity Groups are Not Complying with Custody Rule

By Steve Quinlivan on 03/04/2013

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Continue Reading SEC Finding Some Hedge Funds and Private Equity Groups are Not Complying with Custody Rule