Hooray for New Jersey!!! More RIAs mean more work for Regulators
For those who believe that the Garden State’s greatest contribution to the securities industry is that Snooki of Jersey Shore fame does not practice in the field, think again. In the past, we have...
View ArticleABA Seventh Annual National Institute on Securities Fraud
With the east coast in the midst of Hurrican Sandy, I am sure we are all thinking about a nicer place right now. Apparently, the Seventh Annual National Institute on Securities Fraud is November...
View ArticleInvestment Advisers Wary of State Civil and (Gulp!) Criminal Action
State securities regulators are going after investment adviser firms with a vengeance, including, but not limited to, seeking prison time for those who violate the their securities laws. A recent NASAA...
View ArticleLike a Good Neighbor Hedge Fund Insurance Coverage Will Be There, No, Not...
This blog entry about hedge fund insurance coverage almost sounds like a car insurance commercial. Sadly, both are critical in today’s modern society. Given the current regulatory environment,...
View ArticleYou Have to Make Sure Your Private Equity Firm Has D&O Coverage When...
Private equity companies have recently been hit with a barrage of regulatory subpoenas. Responding to these subpoenas may cost the private equity firms to expend millions of dollars. These entities...
View ArticleYou Need to Be Concerned About Analyst Communications under the JOBS Act
The SEC’s Division of Trading and Markets released guidance on the JOBS Act’s elimination of restrictions on analyst communication and research reports concerning initial public offerings of emerging...
View ArticleWhat Brokers Need to Know to Make States Happy
The North American Securities Administrators Association is exceedingly active, coordinating many broker-dealer examinations by a variety of state regulators. NASAA has found that the greatest number...
View ArticleSecurities Employees’ Social Media Access Cannot be Touched by their...
On January 1, 2013, California joined Maryland and Illinois in restricting securities employers’ access to their employees’ and job applicants’ social media accounts. This new law was announced on...
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Who wants to know five compliance trouble areas for state-based advisors
As recently reported in the Investment News, the North American Securities Administration Association (NASSA) reported on the results of state coordinated examinations. The relative good news was that...
View ArticleHere Come the States… In the Trump Era, the States May Be the New Top...
There is an old saying: “the more things change, the more they stay the same.” It seems every few years (usually, the result of a political shift) we see the states become more involved in securities...
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