Investors, Investment Adviser | JD Supra Law News

Bill Seeks to Strip Securities Regulator of Power to Deny New Branch Offices to Broker-Dealers and Investment Advisers

by R. Michael Underwood | Fowler White Boggs P.A. on 5/1/2013

A hallmark of Florida's notoriously strict regulation of investment professions may soon be no more. Florida is one of only eight jurisdictions in the United States that require securities broker-dealers and investment...more

Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder [Video]

by Bloomberg Law on 4/17/2013

April 17 (Bloomberg) -- Eli Broverman, co-founder and chief operating officer of Betterment LLC, talks with Bloomberg Law's Spencer Mazyck about his transition from practicing law at Proskauer Rose LLP to creating a Web-based...more

SEC Adviser Exams Find Widespread Violations of Custody Rule

by Luke T. Bagley, Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 3/8/2013

The SEC’s Office of Compliance Inspections and Examinations reports finding widespread compliance deficiencies related to custody of securities. In its March 4, 2013 National Exam Program Risk Alert, OCIE said that...more

Court of Appeal Reiterates the Importance for Investors to Conduct Due Diligence

by Marie-Noël Rochon | Heenan Blaikie LLP on 2/25/2013

The Court of Appeal of Quebec has rendered an important decision on the liability of securities dealers and investment advisors. In Mazzarolo v. BMO Nesbitt Burns ltée, 2013 QCCA 245, the Court of Appeal, in accordance with...more

FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice

by Jay G. Baris, Hillel Cohn, Kelley A. Howes, Daniel A. Nathan | Morrison & Foerster LLP on 1/16/2013

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more

State Regulators Release List of Top Investor Frauds

by The Law Offices of Debra G. Speyer on 8/30/2012

The North American Securities Administrators Association (NASAA) recently revealed its annual list of financial products and practices that pose the highest risks to investors. The list includes several new threats as well as...more

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Investors › Investment Adviser

Bill Seeks to Strip Securities Regulator of Power to Deny New Branch Offices to Broker-Dealers and Investment Advisers

Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder [Video]

SEC Adviser Exams Find Widespread Violations of Custody Rule

Court of Appeal Reiterates the Importance for Investors to Conduct Due Diligence

FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice

State Regulators Release List of Top Investor Frauds

Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder [Video]

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