Posts from October 2013.

Last month, the Securities and Exchange Commission’s (“SEC”) Chairwoman Mary Jo White caused a stir within the advisory industry when she issued a speech stating that the SEC will begin zeroing in on “minor infractions” of investment advisers.  This past...

In 2012, states expanded their oversight of registered investment advisers (“RIAs”) from those with $25 million in assets, to those with $100 million or less.  Prior to 2012, the Securities and Exchange Commission (“SEC”) had been responsible for overseeing these...

In April 2013, the SEC and the CFTC jointly issued their final rules and guidelines for entities regulated by each of the respective agencies under Regulation S-ID - Identity Theft Red Flags Rules (the "Rule" or "Regulation S-ID").  The new...

In April 2010, the State of Maryland became the first U.S. state to pass “Benefit Corporation” legislation, thus permitting the formation of a new type of corporate entity structure in that state.  Since that time, several other states – including...

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