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Recent Posts

SEC Examination Priorities for 2021

Mar 5, 2021 3:24:04 PM / by Joot posted in SEC, SEC Examinations

On March 3rd, the SEC released its examination priorities for 2021. Here’s what they called out:

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New York Finally Requires Investment Adviser Representatives to Register

Jan 27, 2021 9:09:49 AM / by Joot posted in Investment Advisers, New York

All states except New York have long had an individual registration requirement for investment adviser representatives (IARs). But that’s about to change.

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Launching an Interval Fund – Why Now is the Right Time and What You Need to Know

Apr 14, 2020 11:30:00 AM / by Joot posted in Joot, Practus, Interval Funds

Recently, we’ve heard from several new and established investment advisers about launching a closed-end interval fund. These funds are alternative investments and a hybrid between mutual funds and traditional closed-end funds. We’re helping a few asset managers with these products, and the same is true for our business partners at the law firm, Practus, LLP.

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SEC Issues Proposal to Modernize the Advertising Rules

Feb 27, 2020 1:00:00 PM / by Joot posted in SEC, SEC Rule, Advertising

1961, Was it really a "good year?" Some of us couldn’t say for sure since we weren’t even born yet!  For those of us that were, gas was about 27 cents/gallon.  John F. Kennedy was President and about to deal with the "Bay of Pigs" debacle which would tarnish his first year in office.  East German authorities closed the border between East and West Berlin and construction of the Berlin wall would commence.  Pampers were introduced as the world’s first disposable diaper.  Oh, and the Securities and Exchange Commission published the first rule on advertising!

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Cybersecurity: A Question of When, Not If, Your Company will Fall Victim

Feb 20, 2020 1:30:00 PM / by Joot posted in Privacy, Security, Cybersecurity

Financial firms, including broker-dealers and registered investment advisers, are at a high risk of cybersecurity attacks primarily because they control both their own data and the sensitive data related to clients.

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