Supreme Court to Decide Fund Manager's 10-Year SEC Fight — SEC Roundup
By Nick Morgan and Tom ZaccaroThe SEC's in-house trial system is largely "a kangaroo court," the hedge fund principal's lawyer says.
July 12, 2023
How Independence Gives Advisors Room for Growth (Video)One of the keys to creating a successful independent business is knowing how to grow. Whether they're attracting clients, hiring employees, or selecting…
July 10, 2023
How Independent Advisors Tackle Marketing and Compliance (Video)Marketing and compliance can feel like obstacles to those thinking about going independent. Here's how several financial advisors tackled these issues…
July 10, 2023
What Makes the Independent Model Different? (Video)Running an independent financial business means advisors are CEOs, HR directors, and customer service reps all rolled into one. Here's what a typical…
June 28, 2023
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC RoundupA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
May 10, 2023
Climate Impact Rule Likely on the Ropes: SEC RoundupThe SEC didn't adequately consider whether investors even care about climate disclosures, former commissioner Paul Atkins says.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.