Posts from November 2011.

Last month, FINRA proposed Rule 5123 which, if adopted by the SEC, would have a huge impact on broker-dealers  that offer or sell any security conducted in reliance on an exemption from registration under the Securities Act (i.e., a private...

In September of 2010, the California legislature passed AB 1743 to supervise “External Managers” and require “Placement Agents” to register as lobbyists.  Generally speaking, “External Managers” are defined as a person or entity who is retained or seeking to be retained...

The North American Securities Administrators Association (“NASAA”) recently released a set of examination findings which identify the common compliance deficiencies for state registered investment advisers. The press release listed the top deficiencies revealed in a series of coordinated state examinations...

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