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Regulatory Oversight Fees Investment

Faegre Drinker Biddle & Reath LLP

FINRA’s Focus on Account Recommendations and Rollovers

FINRA’s continued focus on account recommendations and rollovers is evident in its 2025 FINRA Annual Regulatory Oversight Report (the Report), Based on the Report, broker-dealers and their registered representatives...more

Goulston & Storrs PC

Private Funds Should Prepare For More SEC Oversight In 2022

Goulston & Storrs PC on

Growth in the private funds industry has been exponential in recent years and shows no sign of slowing down. Industry experts estimate that investors pay private equity and hedge funds more than $250 billion a year in fees...more

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