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Lowenstein Sandler LLP

Strengthened SEC Enforcement Activity is a Reminder that Investment Advisers Must Ensure their Practices and Procedures are...

Lowenstein Sandler LLP on

As evidenced by an influx of recent activity over the past month, it’s becoming more and more apparent that the U.S. Securities and Exchange Commission (SEC) is strengthening its regulatory framework and pushing forward with...more

Clark Hill PLC

The Municipal Advisor Regulatory Framework - Where We Are and Where to Next

Clark Hill PLC on

On September 19, 2016, the Municipal Securities Rulemaking Board ("MSRB") advised Congress that it had "just concluded development of a core regulatory framework for municipal advisors." This by no means signals a significant...more

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