Are you or your company considering providing investment advice to clients and receiving compensation in return? Then you are likely required to register as an investment adviser with your state, or depending on the size of your potential business, with the U.S....

Beginning August 31, 2022, the Securities and Exchange Commission (the “SEC”) began enforcing newly enacted rules governing the use of universal proxy cards in elections for board of directors. The new requirements apply to any non-exempt public company holding a...

The Securities and Exchange Commission recently proposed amendments to its current rules for open-end management investment companies regarding liquidity risk management programs and swing pricing. If adopted as proposed, the amendments would likely lead to...

In 1996, Congress curtailed state-level regulation of securities offerings, or so-called “blue sky laws,” by preventing states from setting their own registration and qualification requirements for nationally traded stocks and mutual funds.  By preempting state blue...

For broker-dealers, a Series 7 license allows them to sell corporate stocks and bonds and a range of other securities, such as municipal bonds and mutual funds. But if they intend on pursuing investment banking activities, as well, they need another license: the...