Month: August 2012


The Securities and Exchange Commission (SEC) has postponed issuing rules which would allow issuers of private securities to immediately begin to solicit the general public.  Instead the SEC will issue a proposed rule and solicit comment from the public. While this rule change is mandated under the JOBS (Jumpstart Our […]

Tracking Changes

There are many things happening so quickly and I am finding it hard to keep on top of all the changes. My job is to be proactive, get an understanding of the regulatory rule changes and meet with my clients to plan a proper course of action.  Here are a couple […]

SRO DEAD… For now?

A few weeks back I blogged about an article my partner Matt Pribila wrote concerning the push for more regulations over Registered Investment Advisors (RIAs).  The issue, at the time, seemed to be whether the SEC (Securities and Exchange Commission), FINRA (Financial Investment Regulator Association) or an SRO (self regulating […]