Read
less than a minute
September 19, 2023
less than a minute
You may also be interested in these
Before the Problem: What It Actually Costs to Call Your Attorney First
Two business owners. Same size company, same industry, same month. One called me before signing. One called me after something broke. I want to walk…Read
Jul 28, 2026
2 Months into the New “No-Deny” Era of SEC Enforcement Settlements
On May 18, 2026, the Securities and Exchange Commission adopted a final rule rescinding Rule 202.5(e) of its Rules of Informal Procedure. This rule eliminated…Read
Jul 27, 2026
SEC Raises “Qualified Client” Thresholds
On April 28, 2026, the SEC issued a final order adjusting the thresholds of the “qualified client” definition under Rule 205-3 of the Investment Advisers…Read
Jul 27, 2026