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SEC Issues Concept Release Seeking Comment on Structure of Equity Markets SEC Issues Concept Release Seeking Comment on Structure of Equity Markets

SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations

SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market Access Controls

SEC Charges California Telecom Company With Bribery and Other FCPA Violations

SEC Freezes Assets of French Citizens Within Days of Insider Trading

SEC Charges Austin-Based Investment Adviser in Fraudulent Scheme Utilizing Football Stars

FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private Placement Offering Failures

SEC Charges U.S. Subsidiary of World's Largest Inter-Dealer Broker for Displaying Fictitious Trades and Misleading Customers SEC Charges California Firm and CEO With Defrauding Customers in Sales of Risky Mortgage-Backed Securities

SEC Blocks Early-Stage Ponzi Scheme Involving Purported Investments in Personal Injury Settlements

FINRA Expels Meeting Street Brokerage, Bars Broker, Sanctions Firm's Owner for Market Manipulation, Other Violations

SEC Charges Former Officers of Subprime Lender New Century With Fraud

SEC Obtains Asset Freeze Against Co-Founder of Canopy Financial in $75 Million Offering Fraud

FINRA Fines Terra Nova Financial $400,000; Firm Made Over $1 Million in Improper Soft Dollar Payments



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Featured News, Commentary and Related Sites

Featured Books:

The RIA's Compliance Solution Book - The pressure to understand changing compliance regulations and to meet the requirements they impose has never been more intense. A range of scandals and abuses has caused the Securities and Exchange Commission to tighen regulation and step up enforcement. Unfortunately, definitive compliance information - the kind that can save advisers precious time and spare them serious trouble - has not been easy to find. Until now. This book gathers the information needed most and puts it all in one place. Here advisers will find plain-English translations of the rules that regulate such issues as: * advisory contracts and fees * advertising and client communications * RIA compliance programs and codes of ethics * custody of customer accounts * completing, filing, and amending Form ADV * selecting brokers and executing trades

Investment Advisor Regulation: A Step-by-Step Guid to Compliance and the Law - guide to the laws and regulations governing investment advisers. Investment Adviser Regulation explains the regulation of investment advisers, offering guidance on the federal and state laws governing adviser conduct with particular attention to the Investment Advisers Act, the Investment Company Act, and the Employee Retirement Income Security Act (ERISA). In addition the book provides analysis of complex status questions that determine crucial registration, disclosure and liability issues; a detailed explanation of Form ADV; potential conflicts of interest; relevant SEC releases and no-action letters; and much more.

More Books For Financial Advisors

Featured Articles

Registration and Regulation of Investment Advisers - an overview of the requirements and procedures for registration of investment advisers and hedge fund managers.

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Stautes and Regulations:

Investment Adviser's Act of 1940

Rules promulgated under the Investment Advisers Act of 1940


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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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