Federal Preemption
I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment letter to the Securities and Exchange Commission concerning the SEC’s proposed reforms for federal preemption of registered offerings.
Exchange-listed securities generally benefit from federal preemption of state registration and...
EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule
The SEC’s Division of Examinations (“EXAMS”) posted its observations concerning registered investment advisers’ compliance with Section 204A of the Investment Advisers Act of 1940 and Rule 204A-1 (also known as the “Code of Ethics Rule”) in...
EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule Continue reading…
Defend Yourself
It rarely ends well for an RIA who fails to appear before the Securities and Exchange Commission to defend his or her position. Witness the latest industry bar.
Are you facing a SEC action? Please contact me to discuss.
Read more:
Expungement of Complaints from the CRD
The SEC's 2022 Examination Priorities
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Defend Yourself Continue reading…