How suitable are your investment strategies? The SEC cares, a lot.
New ADV form heightens attention to the issue
|March 30, 2011 — 2:19 PM UTC|
So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations
|October 11, 2010 — 4:41 AM UTC|
Now, the SEC wants you to be a writer, too?
ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you
|September 2, 2010 — 4:32 AM UTC|