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Dallas
Insights
Jun 06, 2022
Jun 06, 2022
The SEC’s Continued Efforts to Dive Feet First into Climate Control and ESG Initiatives
On May 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) provided notice of proposed rulemaking aimed at Investment Advisers (“Advisers”), Investment Companies and Business Development…
Insights
May 20, 2022
May 20, 2022
SEC Guidance: Disclosure Obligations Stemming from Russia’s Invasion of Ukraine
Insights
Dec 20, 2021
Dec 20, 2021
The SEC’s Recent Observations from Examinations into Advisers’ Fee Calculations
Key Takeaways:
On November 10, 2021, the SEC released a Risk Alert which provides observations from recent examinations into advisers’ fee calculations. A copy of that Alert can be found HERE.
In…
Insights
Aug 17, 2021
Aug 17, 2021
Supervision of Vendors When Outsourcing – The Buck Stops with FINRA Member Firms
Key Takeaways:
On August 13, 2021, FINRA issued Regulatory Notice 21-29 (“RN 21-29”) to remind member firms that they must establish and maintain an adequate supervisory system, including written…
Insights
Aug 03, 2021
Aug 03, 2021
US Mid-Market M&A continues a remarkable run in the first half of 2021.
Deal activity expected to remain robust going into 2022.
Insights
Mar 15, 2021
Mar 15, 2021
A lack of regulatory clarity inhibits small businesses from engaging finders and cuts off meaningful access to the capital markets. New proposals from the U.S. Securities and Exchange Commission are…
Insights
Jan 21, 2021
Jan 21, 2021
FINRA Fines Cetera Firms Total Of $1,000,000 For Securities Transactions
Two conclusions that can be drawn from the Cetera Firms’ AWC, for a firm that permits its representatives to conduct transactions through an outside RIA, are: (1) firms should perform some tangible,…
This material is not comprehensive, is for informational purposes only, and is not legal advice. Your use or receipt of this material does not create an attorney-client relationship between us. If you require legal advice, you should consult an attorney regarding your particular circumstances. The choice of a lawyer is an important decision and should not be based solely upon advertisements. This material may be “Attorney Advertising” under the ethics and professional rules of certain jurisdictions. For advertising purposes, St. Louis, Missouri, is designated BCLP’s principal office and Kathrine Dixon (kathrine.dixon@bclplaw.com) as the responsible attorney.