The United States Small Business Administration (SBA) released its annual recertification notice on June 4, 2015. Small Business Investment Company (SBIC) Funds with unfunded commitments from Institutional Investors must...more
The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released its examination priorities for 2015 for investment advisers, broker-dealers and transfer agents...more
On October 29, 2014, the SEC announced that it had instituted administrative proceedings under the Investment Advisers Act of 1940 against Sands Brothers Asset Management LLC (Sands Brothers), its two co-founders and the...more
1/6/2015
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