The Division of Examinations (Exams) published a Risk Alert (attached) to help broker-dealers prepare for an examination. The Risk Alert...

Earlier today, United States Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) fully vacated the Private Fund Adviser Rules...

After more than 20 years and multiple iterations (proposals in 2015 and 2003 which were subsequently withdrawn), on February 15, 2024,...

We are pleased to announce that our Chief Executive Officer, Elizabeth Hamilton-Guarino, 53, has been named a Top 50 Women CEO of 2022....