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Regulatory Landscape for AI-Driven Securities Promotion
Discover the regulatory landscape for AI-driven securities promotion, focusing on compliance for broker-dealers. Explore key considerations, including communications, supervision, vendor management, and record keeping to navigate the evolving financial sector effectively.
The SEC Bows Out: No Appeal on Private Fund Advisers Rule Ruling
In a surprising decision, the SEC will not appeal the Fifth Circuit Court's ruling vacating the Private Fund Advisers Rule. Explore the implications for private fund regulation, investor protections, and the future of the investment landscape in our analysis.
Texas Federal Courts Strike Down DOL’s Retirement Security Rule: What You Need to Know
Discover how the Texas Federal Courts' recent ruling against the DOL's Retirement Security Rule impacts retirement planning and fiduciary responsibilities.
SEC’s Transformative Amendments to Forms N-Port and N-CEN: A Boost for Transparency and Liquidity Management
Discover how the SEC's amendments to Forms N-PORT and N-CEN enhance transparency and liquidity management in the investment industry.
SEC’s Latest Amendments to Regulation NMS: Navigating the Future of Equity Markets
Explore the SEC's groundbreaking amendments to Regulation NMS that will transform equity markets.
SEC Cracks Down: Nine Investment Advisers Charged for Marketing Rule Violations
The SEC has charged nine investment advisers with violating the Marketing Rule by using misleading advertisements.
SEC Cracks Down on Investment Advisers: Violating Whistle blower Protections
The SEC has taken action against three investment advisers for violating whistle blower protection rules, highlighting the importance of transparency and accountability in the finance sector.
SEC Adopts EDGAR Next: Enhancing Security and Streamlining Filings
The SEC's recent amendments to the EDGAR system usher in a new era of security and efficiency for financial filings. Discover how individualized user credentials, a new dashboard, and API integration will enhance your filing experience.
FINRA’s Proposed Rule Change: A New Era for Residential Supervisory Locations
Explore FINRA's proposed rule change for Residential Supervisory Locations (RSLs) that simplifies reporting and enhances compliance for firms. Learn how these changes adapt to remote work trends and what firms need to do to prepare.
Expert Tips for Maintaining SEC Compliance: Why Outsourcing to Industry Veterans is Key
Discover how outsourcing your SEC compliance to experts with extensive SEC, legal and regulatory experience can help your RIA stay compliant and focused on client success. Explore the benefits of our fractionalized Chief Compliance Officers and/or Chief Legal Officer services.
Top 5 Compliance Challenges Faced by RIAs in 2024: Navigating SEC Regulations
Discover the top 5 compliance challenges Registered Investment Advisers (RIAs) face in 2024, focusing on SEC regulations, updates, and amendments. Stay ahead with expert insights on maintaining compliance.
Navigating the SEC Marketing Rule: Your Comprehensive Guide to Compliance
Discover how to navigate the SEC Marketing Rule and enhance your compliance through expert partnership with LawVisory. Gain insights from SEC Risk Alerts and elevate your marketing strategy.
Understanding SEC Investment Adviser Registration Requirements: A Comprehensive Guide
Explore the SEC investment adviser registration requirements, exceptions, compliance best practices, and tips for success in understanding this critical aspect of financial advisory.
Navigating the SEC Marketing Rule: Your Comprehensive Guide to Compliance
Discover how to navigate the SEC Marketing Rule and enhance your compliance through expert partnership with LawVisory. Gain insights from SEC Risk Alerts and elevate your marketing strategy.
Understanding the DOL’s Final Rule
Understanding the DOL's Final Rule, which modernizes fiduciary definitions, expands accountability, and enhances investor protections in retirement planning.
Making Capital Raising Easier, Quicker, and Safer with Comprehensive Assistance
Transform your capital-raising experience with comprehensive preparation and filing assistance from LawVisory. Our expert guidance simplifies the complex regulatory landscape, expedites the fundraising process, and ensures compliance, helping you secure the necessary funds for your business growth efficiently and safely.
Simplifying SEC Compliance: How LawVisory Helps You Avoid Non-Compliance
Streamline your capital-raising journey with LawVisory's expert SEC compliance services. Learn how personalized support, tailored strategies, and comprehensive guidance can help you navigate complex regulations while avoiding the pitfalls of non-compliance.
The Importance of Legal and Compliance in Raising Capital
Streamline your capital-raising journey with LawVisory's expert SEC compliance services. Learn how personalized support, tailored strategies, and comprehensive guidance can help you navigate complex regulations while avoiding the pitfalls of non-compliance.
Breaking Barriers: SEC Proposes to Update Qualifying Venture Capital Fund Definition
Discover how the SEC's proposed rule to update the definition of "qualifying venture capital funds" aims to foster innovation and growth within the venture capital landscape.
Uncovering the Hidden Costs of Compliance Failures: SEC Cracks Down on Recordkeeping Violations
Discover how the SEC's crackdown on recordkeeping violations by broker-dealers and investment advisers highlights the hidden costs of compliance failures. Explore the consequences of "off-channel communications" and the SEC's renewed commitment to strengthening transparency and accountability in the financial industry.
Unleashing Transparency: SEC’s Landmark Form PF Amendments
Explore the SEC's significant amendments to Form PF, the pivotal reporting framework for private fund advisers. Discover the enhanced transparency, heightened reporting requirements, and strengthened regulatory oversight aimed at protecting investors and mitigating systemic risks.
Navigating the SPAC Landscape: SEC Enhances Investor Protections
Explore the SEC's groundbreaking new rules and amendments aimed at bolstering investor protections in the SPAC and shell company transaction landscape. Discover the enhanced disclosure requirements, alignment with traditional IPOs, and measures to address conflicts of interest.
Whistleblower Protection: The Achilles’ Heel of Wall Street Giants
Uncover the compliance misstep of JP Morgan Securities LLC, as the SEC reveals its systematic violation of whistleblower protection rules. This cautionary tale highlights the urgent need for the financial industry to strengthen compliance practices and foster a culture of ethical conduct.
Uncovering the Risks: A Deep Dive into Security-Based Swap Dealer Compliance
Uncover the widespread security-based swap dealer compliance issues revealed in a recent SEC Risk Alert, including reporting inaccuracies, business conduct shortcomings, and recordkeeping lapses. Gain insights to strengthen your compliance practices.
The Future of Work: FTC Bans Non-Compete Clauses
In a groundbreaking move, the Federal Trade Commission (FTC) has issued a final rule that comprehensively prohibits the use of non-compete clauses in agreements between employers and workers. This landmark decision, set to take effect on September 4, 2024, is poised to reshape the employment landscape across the United States.
Navigating the FTC’s Final Rule Banning Non-Compete Clauses
Delve into the implications of the FTC's Final Rule banning non-compete clauses with this comprehensive article. Explore the prohibitions, exceptions, ongoing legal challenges, employer considerations, and key takeaways. LawVisory offers alternative strategies to ensure compliance with the new law.
Signs You Need a Compliance Review and What to Expect
Discover the signs that indicate your firm needs a compliance review and explore what to expect from the process. Learn why regular compliance reviews are essential for RIAs to ensure regulatory adherence, mitigate risks, and maintain operational efficiency.
Why SEC Compliance is Critical for Registered Investment Advisers
Learn why SEC compliance is crucial for Registered Investment Advisers (RIAs). Explore the importance of adherence to SEC regulations for investor protection, trust, legal responsibility, and competitive advantage. Discover the ramifications of non-compliance and the significance of regular compliance reviews for maintaining operational efficiency and building a culture of compliance.
Understanding the Latest Amendments to Rule 2a-7 for Money Market Funds
Explore the latest amendments to Rule 2a-7 impacting money market funds and registered investment advisers. Learn about increased liquidity standards, removal of redemption restrictions, mandatory liquidity fees, reverse distribution mechanisms, and enhanced reporting requirements.
Strengthening Cybersecurity Disclosure: SEC’s New Regulations Explained
Delve into the SEC's new regulations on cybersecurity disclosure, impacting businesses and registered investment advisers. Explore enhanced cybersecurity disclosures, risk management strategies, governance requirements, reporting material incidents, and obligations for foreign private issuers.
SEC’s Repurchase Rule: Amendments, Legal Challenges, and SEC Response
Delve into the SEC's recent amendments to the Repurchase Rules and the ensuing legal challenges, including the U.S. Court of Appeals for the Fifth Circuit's review and the SEC's response to identified defects in the rule.
SEC Expands Names Rule: Key Amendments and Implications
Dive into the SEC's expanded Names Rule amendments impacting investment funds, including the 80% investment policy requirement, portfolio review mandates, Form N-PORT reporting, derivatives usage, and shareholder notice obligations.
SEC Charges Investment Advisers for Marketing Rule Violations: Settlement Details Revealed
Explore the SEC's actions against nine registered investment advisers for Marketing Rule violations, revealing charges, violation findings, and settlement terms.
SEC Amends Regulation 13D: Key Changes in Beneficial Ownership Reporting
Learn about the SEC's recent amendments to Regulation 13D, impacting beneficial ownership reporting requirements. Understand the key changes and their implications for registered investment advisers and market participants.
SEC Adopts Rule 13f-2: Enhancing Transparency in Short Selling Reporting
Explore the SEC's adoption of Rule 13f-2 to improve transparency in short selling reporting, requiring institutional investment managers to disclose short sale data via Form SHO.
Navigating Compliance with the SEC’s Marketing Rule in Light of Many Enforcement Actions: A Must-Read for Registered Investment Advisers
As a registered investment adviser, staying compliant with the Securities and Exchange Commission's Marketing Rule is crucial to maintaining trust with clients, avoiding regulatory penalties and reputational harm, and avoiding possible enforcement actions.
Navigating SEC Examinations: Insights from the Risk Alert
Gain valuable insights on SEC examinations and regulatory standards for investment advisers in the latest Risk Alert. Understand how the SEC Division of Examinations selects targets, determines examination scope, and requests documents.
Enhancing Investor Protection: SEC’s Proposal for Predictive Analytics Rule
Explore the SEC's proposed "Predictive Analytics Rule" aimed at safeguarding investor interests amidst technological advancements. Understand the key updates and implications for registered investment advisers.
Embracing Digital Evolution Proposed Amendments for Internet Advisers
Understand the SEC's proposed amendments to Rule 203A-2(e) focusing on cybersecurity disclosure in investment advisory services. Learn about the key updates affecting registered investment advisers.
Demystifying SEC Form ADV: A Guide for Investors
Unlock the mysteries of SEC Form ADV with our comprehensive guide. From its definition to filing requirements, learn how this crucial document impacts your investment decisions.
How does Regulation D impact Registered Investment Advisory firms?
Explore how Regulation D for RIA firms shape investment strategies and aids in compliance with SEC exemptions and securities laws.