Janet Murtha – Wuersch & Gering LLP

Provisions of House Bill Impacting Investment Advisers

Recently, the House of Representatives passed The Wall Street Reform and Consumer Protection Act, the long awaited and much anticipated legislation designed to reform the financial markets. The attached memo summarizes the…more
| Securities Law

Investment Adviser Regulation - What has happened and what may come

We all know there have been a lot of proposals out there recently. Here is a summary of the key proposals and the hoops that each proposals would make advisers jump…more
| Securities Law

Comment Letter to SEC RE: Proposed Rule Custody of Funds or Securities of Clients by Investment Advisers

This is a letter to the SEC from our firm commenting on the SEC's proposed rule regarding custody of funds/securities by investment advisers. Back in May, the SEC proposed changes to the "custody rule" which applies to SEC…more
| Securities Law

New Rules for Investment Advisers with Custody of Client Assets

The SEC has adopted amendments to the custody rules under the Investment Advisers Act. This memorandum briefly summarizes what is now required for registered investment advisers having custody. Given that (a) the Investment…more
| Securities Law

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New York, New York 10005, United States

Areas of Practice
  • Finance & Banking
  • Securities Law
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