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Archive for January, 2020

Annual Letter: 2020

This is our annual letter briefly reviewing various issues that our investment adviser clients should consider over the next few…

SEC EXAMINATIONS OF INVESTMENT ADVISERS – Winter 2020 Update

Last October I spoke at a compliance conference on the subject of SEC investment adviser examinations. The article below is…

FINRA Amends its New Issue Rules

FINRA has updated its Rules 5130 and 5131, which govern allocations of “new issues,” effective January 1, 2020. Broadly speaking,…