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NASAA Provides Guidance on Top IA Deficiencies in State Examinations
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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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SEC Proposes Regulations Implementing the Volcker Rule
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On October 12, 2011, the SEC, together with the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency (OCC), issued proposed regulations implementing Section 619 of the Dodd-Frank Act, popularly referred to…

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