by lacirothstokescom | Feb 5, 2019
Back to "Our Headlines" Periodic Filings for Investment Advisers by Dan Clausen February 5, 2019 Follow Us [email protected] Investment advisers need to file certain periodic reports with the SEC, other federal regulators and/or the adviser’s state...
by lacirothstokescom | Jul 26, 2018
“The new rules, if enacted as proposed, will not create a uniform set of standards, but will somewhat level the playing field for retail customers in terms of what they can expect in dealing with either brokers or investment advisers.” Back to "Our...
by lacirothstokescom | Jun 17, 2018
“A frequent issue cited by OCIE is advisers indicating that they have been named to a list ranking the top advisers in a field, but not specifying when they received the ranking—thus giving the appearance that the ranking appeared in the most recent publication...