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2026

Cancel-Rebill and Screw Your Clientsoriginal ↗
24 Sept 2026
New Risk Alert on Investment Adviser Annual Compliance Reviewsoriginal ↗
15 Sept 2026
When Compliance Says “Do It”, But the Firm Doesn’toriginal ↗
14 Sept 2026
Extending Compliance Dates for Form PForiginal ↗
10 Sept 2026
The Massive Scope of Digital Asset Investment Scamsoriginal ↗
9 Sept 2026
SEC Proposes Rescission of Political Contribution Rule for Investment Advisersoriginal ↗
8 Sept 2026
Is Failure to Disclose Misappropriation Committing Securities Fraud?original ↗
3 Sept 2026
SEC Sweep of Fake Form ADV Filersoriginal ↗
31 Aug 2026
New Custody Rule Is On Its Wayoriginal ↗
28 Aug 2026
Can a Farm of Hardwood and Citrus Trees be a Security?original ↗
14 Aug 2026
The Corporate Transparency Act is Finally Deadoriginal ↗
13 Aug 2026
The SEC 2026 Rulemaking Agendaoriginal ↗
24 Jul 2026
The Alignment Gap: Rethinking Costs in Private Equity Fund Formationoriginal ↗
23 Jul 2026
PERE 100 and SEC Registrationoriginal ↗
1 Jun 2026
Neither Admit Nor Deny To Be No Longeroriginal ↗
14 May 2026
What Will Form PF Look Like Next Year?original ↗
13 May 2026
Is It a Chipset or Is It a Security?original ↗
12 May 2026
When the Lawyer Is Breaking Badoriginal ↗
8 May 2026
Will Investors Have an Appetite for Semi-Annual Reporting?original ↗
6 May 2026
Special Forces Trading on Insider Knowledgeoriginal ↗
5 May 2026
Prediction Markets and Compliance Programsoriginal ↗
4 May 2026
The One with the Line That Goes Straight Up and Rightoriginal ↗
1 May 2026
The One with the Crypto Paying for a Mega-Shilling Packageoriginal ↗
22 Apr 2026
The Performance of the SEC in 2025original ↗
14 Apr 2026
More on the Downsizing of the SECoriginal ↗
13 Apr 2026
SEC Enforcement Results for FY 2025original ↗
9 Apr 2026
Proposed Fundamental Reforms to AML Programsoriginal ↗
8 Apr 2026
Is It a Truck or a Security?original ↗
7 Apr 2026
The One with Low IQ from Pet IQoriginal ↗
6 Apr 2026
The Downsizing of the SECoriginal ↗
2 Apr 2026
When “Today” Is Not all of “Today”original ↗
1 Apr 2026
Compliance Bricks and Mortar for March 27original ↗
27 Mar 2026
The One Where Theory Meets Realityoriginal ↗
25 Mar 2026
When the COVID Pandemic Hits Your Valuationoriginal ↗
10 Mar 2026
SEC’s Private Markets Roundtableoriginal ↗
4 Mar 2026
FINRA Raising Gift Limitoriginal ↗
3 Mar 2026
Residential Real Estate Reporting Has Begunoriginal ↗
2 Mar 2026
BlueSky Eagle and the Ghost Filingoriginal ↗
26 Feb 2026
Updates to the SEC Enforcement Manualoriginal ↗
25 Feb 2026
When Drug Lords Want Their Kids to Be Better Athletesoriginal ↗
24 Feb 2026
Insider Trading Before Bankruptcyoriginal ↗
23 Feb 2026
Relief for ’40 Act Fundsoriginal ↗
20 Feb 2026
Artificial Intelligence Produced Materials are Not Protected by Privilegeoriginal ↗
19 Feb 2026
FINRA Looks to Allow Projected Performanceoriginal ↗
18 Feb 2026
California’s Fair Investment Practices by Venture Capital Companiesoriginal ↗
2 Feb 2026
Compliance Bricks and Mortar for January 30original ↗
30 Jan 2026
Interpreter Insider Tradingoriginal ↗
29 Jan 2026
Things not to put in Advisory Contracts – Hedgesoriginal ↗
28 Jan 2026
Weekend Reading: Bad Companyoriginal ↗
24 Jan 2026
Things to Not Put in an Advisory Agreement – Assignment Rightsoriginal ↗
22 Jan 2026
Congressional Stock Trading and Private Insider Tradingoriginal ↗
21 Jan 2026
Model Fees Versus Actual Fees in Marketingoriginal ↗
20 Jan 2026
Compliance Bricks and Mortar for January 16original ↗
16 Jan 2026
Staff Report on Capital-Raising Dynamicsoriginal ↗
13 Jan 2026
Compliance Bricks and Mortar for January 9original ↗
9 Jan 2026
“Small”: I Don’t Think You Know What That Meansoriginal ↗
8 Jan 2026
CFTC is Saying Goodbye to Private Fundsoriginal ↗
7 Jan 2026
New York’s LLC Transparency Act Will Remain Limitedoriginal ↗
6 Jan 2026
SEC and CFTC With Only Republicansoriginal ↗
5 Jan 2026
Compliance Books from 2025original ↗
3 Jan 2026
Happy New Yearoriginal ↗
1 Jan 2026

2025

The One That Can Drive You and Give You Investment Adviceoriginal ↗
10 Dec 2025
The One with the Foreclosure and OFAC Sanctionsoriginal ↗
1 Dec 2025
Can Precious Gem Buying Being Securities Fraud?original ↗
21 Nov 2025
The SEC Is Backoriginal ↗
14 Nov 2025
Another Extension for Changes to Form PF Complianceoriginal ↗
17 Sept 2025
Changing the Quant Model for a Bigger Bonusoriginal ↗
15 Sept 2025
All Investment Advisers Have Conflicts of Interestoriginal ↗
9 Sept 2025
Alternative Assets in Your 401k, or 401k as an Investor in Your Fundoriginal ↗
21 Aug 2025
Can a Fund Manager Defer the Payment of Fees?original ↗
20 Aug 2025
Definitely, Not in the Best Interestoriginal ↗
13 Aug 2025
I’m Asking You For Your Hard-Earned Moneyoriginal ↗
28 Jul 2025
Another Compliance Officer Doing Wrongoriginal ↗
22 Jul 2025
FinCEN Announces Postponement and Reopening of Investment Adviser Anti-Money Laundering Ruleoriginal ↗
21 Jul 2025
Once Again, It’s Not Compliant to Fake Your Compliance Documentsoriginal ↗
16 Jul 2025
It’s Not Compliant to Fake Your Compliance Documentsoriginal ↗
15 Jul 2025
Is Form PF on the Chopping Block?original ↗
17 Jun 2025
De-Regulation from the SECoriginal ↗
16 Jun 2025
FCPA Comes Back From the Deadoriginal ↗
12 Jun 2025
The One with Uncertain Feesoriginal ↗
11 Jun 2025
Rising Backlash at the Killing of the Corporate Transparency Actoriginal ↗
10 Jun 2025
The Danger of Block Trading Accountsoriginal ↗
9 Jun 2025
SEC Report on Beneficial Ownership Concentration and Fund Outcomes for Hedge Fundsoriginal ↗
5 Jun 2025
The MCAs Are Crankin’original ↗
3 Jun 2025
Safeguard of Your IRA Was Not So Safeoriginal ↗
2 Jun 2025
The One Without an Anchororiginal ↗
29 May 2025
Shuffling Silver at Silverbackoriginal ↗
13 May 2025
SEC Has a Setback on Disclosure Caseoriginal ↗
12 May 2025
The SEC’s New Love of Stablecoinsoriginal ↗
15 Apr 2025
FinCEN Broadly Reinterprets the CTA Beneficial Ownership Reporting Requirementsoriginal ↗
24 Mar 2025
The SEC Reverses its Position on Extracted Performanceoriginal ↗
21 Mar 2025
Do Investment Advisers Have a Duty to Non-clients?original ↗
20 Mar 2025
Tweaking the Accredited Investor Standardoriginal ↗
19 Mar 2025
The One with Concentrationoriginal ↗
18 Mar 2025
Another Loss by the Corporate Transparency Actoriginal ↗
10 Mar 2025
The Death of the Corporate Transparency Actoriginal ↗
3 Mar 2025
Meme Coins Are Not Securitiesoriginal ↗
28 Feb 2025
Corporate Transparency Act Rollercoaster Continuesoriginal ↗
19 Feb 2025
Compliance and Changing Business Modelsoriginal ↗
18 Feb 2025
The Death of the Foreign Corrupt Practices Actoriginal ↗
11 Feb 2025
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