Filing Fees to Start July 1 for Private Placements Seeking to Raise More Than $25M

February 17, 2025

Acting SEC Chair Uyeda Announces Formation of Crypto Task Force

January 21, 2025

Novogradac Working Group Urges Trump Transition Team to Strengthen OZ Incentive

January 9, 2025

SEC Adopts Amendments to Broker-Dealer Customer Protection Rule

December 26, 2024

Colorado-Based Investment Manager Accused of Misusing Opportunity Zone Funds

December 25, 2024

J.P. Morgan Securities to Pay $3 Million for Short Interest Reporting Violations

December 25, 2024

Sponsored: The Vistra Acquisition of Phoenix American Fund Services Heralds A New Era in Fund Administration

December 2, 2024

Navigating New Regulations: How Financial Advisers Can Prepare for Upcoming Compliance Challenges

November 19, 2024

Advisers Continue to Face Mounting Challenges From the SEC, FINRA and Other Regulators

October 7, 2024

SEC Charges Founder of BitClout Crypto With Asset Securities Fraud

August 1, 2024

Navigating Reg BI: Strategies for Smaller Firms to Stay Compliant

July 31, 2024

Navigating the Complexities of Reg BI: What Financial Advisers Need to Know

July 3, 2024

Fifth Circuit Strikes Down SEC Private Fund Adviser Rule

June 6, 2024

FINRA Fines Georgia BD for Improper Electronic Communications Management

April 1, 2024

Cetera Bolsters Legal Team in Service of Its Financial Advisers

March 27, 2024

Five Questions for: ADISA Board of Directors President Jade Miller

March 25, 2024

FINRA Fines, Suspends LPL Veteran Broker for Falsified Signatures

February 8, 2024

SEC Bars Florida Man Who Operated $35 Million Ponzi Scheme

January 25, 2024

Settlement Reached in Case of Former Morgan Stanley Adviser Who Defrauded Elderly

January 24, 2024

Medsis to Pay Over $15 Million in Securities Offering Fraud

January 18, 2024