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An Analysis of the Potential Impact of a Uniform Fiduciary Standard Upon Broker-Dealers, Registered Investment Advisers, and Dually-Registered Advisers
Posted on Wednesday, March 13, 2013 at 1:03 PM

Widely considered to be the most sweeping fi nancial regulatory reform
of the modern era, the Dodd-Frank Wall Street Reform and Consumer
Protection Act (“Dodd-Frank”) was signed into law nearly three years

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SEC Examination Priorities Announced for 2013; A Lot on the Plate!
Posted on Tuesday, February 26, 2013 at 1:01 PM

Annually, the Securities and Exchange Commission (SEC) determines and communicates to investors and SEC registrants the examination priorities that best will protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. 

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Regulator’s Action Against LPL Financial Underscores Risks of Investing in Non-Traded REITs
Posted on Friday, December 28, 2012 at 1:00 PM

The Massachusetts Securities Division has filed a regulatory action against LPL Financial, LLC (“LPL”), seeking full restitution and other relief for investors residing in Massachusetts who were sold non-traded real estate investment trusts (REITs) in violation of Massachusetts law.

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SEC Whistleblower Program Reported To Be A Success in 2012
Posted on Tuesday, December 4, 2012 at 12:59 PM

The SEC recently submitted its Annual Report to on the Dodd-Frank Whistleblower Program for 2012. 

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Calling All Investment Trustees: A Primer on Prudent Asset Management
Posted on Friday, November 2, 2012 at 12:58 PM

Anyone charged with the responsibility for managing the investment of assets needs to have a basic understanding of investment principles and concepts.

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Duty to Adhere to the Investment Policies
Posted on Tuesday, October 16, 2012 at 12:57 PM

An adviser may not manage a client’s money in a way that subjects the investment to greater risks than those described in the investment company’s registration statement, resulting in losses to shareholders.

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New York Attorney General’s Lawsuit Alleges Fraud and Deceit in Sale of Residential Mortgage-backed Securities
Posted on Tuesday, October 2, 2012 at 12:56 PM

The lawsuit against J.P. Morgan for the alleged fraud and deceit by Bear Stearns (a company that J.P. Morgan acquired in 2008) highlights the breadth of the damage caused in connection with sales of Residential Mortgage-backed Securities (RMBS). 

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FINRA Issues Investor Alert Regarding Non-Traded REITs
Posted on Tuesday, September 25, 2012 at 12:55 PM

Recently, FINRA (the Financial Industry Regulatory Authority) issued an Investor Alert for investors (and their financial advisers) relating to public non-traded real estate investment trusts (REITs). 

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Clarifications to New Suitability and Know Your Customer Rules Underscore Their Importance
Posted on Friday, September 7, 2012 at 12:54 PM

Overview:  On July 9, 2012 new FINRA Rule 2090 and FINRA Rule 2111 will take effect.  The goal of FINRA (the Financial Industry Regulatory Authority) is to “strengthen, streamline and clarify” those very important investor protection rules. 

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SEC’s Financial Literacy Study Reveals Significant Financial Illiteracy of Investors
Posted on Wednesday, September 5, 2012 at 12:51 PM

The Dodd-Frank Act (more formally known as the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010) requires the SEC (Securities and Exchange Commission) to conduct a study to identify the existing level of financial literacy among retail investors as well as to identify methods and efforts to increase the financial literacy of investors.  At long last, the study has arrived. 

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