Search Results for:
Peter D Fetzer
(113)
ARTICLES(113)
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Altering a Document Results in SEC Enforcement Action Against RIA Compliance Officer
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Assets Under Management by Registered Investment Advisers Have Increased Substantially
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Excessive Fee Case Withstands Dismissal
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Repeated Custody Rule Violations Leads to SEC Enforcement Action
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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SEC’s Continued Concern Over Alternative Mutual Funds
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Will “Accredited Investor” Definition Be Changed?
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Adviser’s Non Compliance With SEC Subpoena Settled by Court
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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Cost of Proposed User Fees by Registered Investment Advisers Further Discussed
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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Failure to Disclose Conflict of Interest to Clients Results in SEC Enforcement Proceeding Against Registered Investment Adviser
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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SEC Valuation Guidance for All Funds
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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Update on Insider Trading in Mutual Fund Shares
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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SEC Charges Insiders for Violations of Section 16(a) and Section 13
- September 23, 2014
- LEGAL ALERTS/ARTICLES
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Alternative Investment Strategies
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Another Conflict of Interest Enforcement Action Taken by the SEC Against a Registered Adviser
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Improving Prospectus Disclosure
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Persons Registered as Municipal Advisers Face SEC Examination Program
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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SEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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“Pay-to-Play” for Investment Advisers: The SEC’s First Prosecution
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Misusing Client Assets Results in Sanctions Against a Registered Investment Adviser
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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Mutual Funds and Advisers Should Evaluate Oversight of Proxy Advisory Firms
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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OCIE Director Repeats Concerns About Compliance Issues Found During Private Equity Adviser Exams
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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Will SEC Stick to Its Guns on Reg. A Plus Regulatory Authority?
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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Renewed Call for Investment Adviser User Fees
- August 02, 2014
- LEGAL ALERTS/ARTICLES
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Investment Advisers’ Affiliation Leads to Violation of Investment Adviser Registration Requirements
- July 08, 2014
- LEGAL ALERTS/ARTICLES
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Know Your Affiliates
- July 08, 2014
- LEGAL ALERTS/ARTICLES
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Order Issued for Retaliation Against Dodd-Frank Whistleblower
- July 08, 2014
- LEGAL ALERTS/ARTICLES
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Portfolio Manager Sanctioned for Prohibited Act
- July 08, 2014
- LEGAL ALERTS/ARTICLES
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Concerns Noted During Private Equity Adviser Exams
- June 06, 2014
- LEGAL ALERTS/ARTICLES
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Employees of Mutual Fund’s Investment Adviser Have Whistleblower Protections
- June 06, 2014
- LEGAL ALERTS/ARTICLES
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Lifetime Bar Affirmed for Failure to Supervise
- June 06, 2014
- LEGAL ALERTS/ARTICLES