Securities

Recent Posts

New Form ADV Rules for Registered Investment Advisers
Posted on 20 Jan 2011 by Arina Shulga

On July 28, 2010, the Securities and Exchange Commission ("SEC") amended Part 2 of Form ADV and certain rules under the Investment Advisers Act of 1940 to require registered investment advisers ("RIAs") to provide clients with a... Read More

Custody and Private Funds
Posted on 8 Mar 2011 by Doug Cornelius

Last year, the Securities and Exchange Commission put a new rule in place restricting an investment adviser's ability to have custody of its clients' assets. Given that many private fund managers are going to have to register as investment... Read More

Are ETFs Reportable Securities?
Posted on 15 Feb 2011 by Doug Cornelius

As a compliance officer for a registered investment adviser, you need to verify transactions where the account has a " reportable security " to make sure your employees are not violating your insider trading policy. That means checking you... Read More