Effective March 29, 2023, certain small business brokers will be exempted from registering with the Securities and Exchange Commission (the SEC). The new law was signed into effect on December 29, 2022, as part of the...more
2/24/2023
/ Broker-Dealer ,
Brokers ,
Consolidated Appropriations Act (CAA) ,
Corporate Sales Transactions ,
Exemptions ,
Investment Management ,
New Legislation ,
No-Action Letters ,
Registration Requirement ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Small Business
The SEC has announced it will hold a public meeting on Wednesday, April 18 at 3:30 p.m. to discuss possible standards for broker-dealers and investment advisers when dealing with retail investors (e.g., small retirement...more
It is that time of year again, when state and federal registered investment advisers (RIAs) renew their registrations and file annual Form ADV updating amendments. The updating amendments are due by March 31, 2018. Part 1A...more
For investment adviser firms, an audit by the Securities and Exchange Commission or state regulators can be cause for anxiety. Regardless of how carefully a firm’s chief compliance officer adheres to regulations, deficiencies...more