Got Investors?

Got Investors? Well, you probably have more headaches than you bargained for. Having investors in your project, company or partnership means that you have lots of people to please, and keep track of! If you have raised money for your company, partnership or project,...

SEC may update advertising rules

Professionals in the securities industry may get more freedom when it comes to advertising. In early November 2019, the U.S. Securities and Exchange Commission proposed updating the Investment Advisers Act of 1940 to allow investment advisers using endorsements and...

SEC collects $4.3 billion in fiscal year 2019

The U.S. Securities and Exchange Commission’s Division of Enforcement announced on November 6, 2019 that it ordered more than $4.3 billion in disgorgement and penalties for the 2019 fiscal year. The SEC also reports returning approximately $1.2 billion to harmed...

Lessons from World Investor Week

World Investor Week may have come and gone, but that doesn’t mean the valuable lessons taught during the week are a thing of the past. The week was held September 30 to October 1 as an effort to “raise awareness about the importance of investor education and...