The U.S. Securities and Exchange Commission (“SEC”) has approved an order adjusting the dollar-amount thresholds used for purposes of the definition of a “qualified client.”  These updated thresholds will become effective on June 29, 2026.   Under current [...]

As the final compliance deadline for the amended Regulation S-P quickly approaches, we’re here to help your firm develop and implement thoughtful and practical policies and procedures.    [...]

We’re reaching out to help you comply with recent amendments to Regulation S-P and remind you about recently adopted continuing education requirements imposed by many states:   As [...]

Each year, investment advisers and their registered personnel are required to renew their registrations for the following year, to ensure that continuous registrations are maintained. This also [...]

We are excited and proud to announce the launch of RIA Lawyers—a law firm dedicated to representing investment advisers. We have each spent the better part of [...]