The Law of the Financial Markets from Top Securities Lawyers
Tuesday, March 10, 2026
Every year the SEC publishes its Examination Priorities for the coming year. We reviewed those priorities with a focus on SEC Examinations for Advisers, with a view towards where examiners will be spending their time—and where advisory firms should be concentrating their compliance resources. See the full FY 2026 Exam […]
What you need to know to start an investment advisory firm. By Mark J. Astarita, Esq. Entities and individuals who provide investment advice to others are subject to regulation by federal and state regulators. Before providing any type of financial advise to anyone, prospective advisers must determine what the regulatory […]
