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Today, the Subcommittee on Capital Markets and Government Sponsored Enterprises of the House Financial Services Committee has scheduled a hearing entitled "Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens."

Over the years that I have defended financial advisors and their firms, I have frequently spoken and written about ways to avoid the risk of being sued.

The SEC released a proposed rule for comment that would require registrants that file registration statements and periodic and current reports...

Several firms, including Investment Company Institute, BlackRock, Fidelity and Franklin, commented to the SEC concept where retail investors could gain greater exposure to growth-stage private companies ...

Until a few years ago, Impact Investing was viewed primarily as an extension of philanthropy, embraced by "mission first" investors and companies.

We are seeing Interval Alts (registered investment funds featuring hedge fund-like liquidity) being used for dedicated insurance-linked securities (ILS) strategies.

New York-based investment adviser deVere USA agreed to pay an $8-million civil penalty to resolve SEC allegations that it failed to disclose conflicts of interest to its retail clients.

The SEC announced that the next meeting of the Investor Advisory Committee will be held on January 21, 2016.

The SEC announced the next meeting of the Investment Advisory Committee, which will be held on January 31st.

The SEC's Investor Advisory Committee announced its next meeting on October 12, beginning at 9.30 am.

The Securities and Exchange Commission announced that the next meeting of the Council will take place on December 8, 2016, commencing at 9.30 am.

IOSCO approved the Enhanced Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information ("EMMoU").

The International Organization of Securities Commissions (IOSCO) Task Force on cross-border regulation has this week published its final report.

During the second quarter 2016, the IPO market improved with 34 IPOs raising approximately $5.5 billion, according to Renaissance Capital.

The House Financial Services Committee approved 13 bills, many of which are JOBS Act related.

Following the House Financial Services Committee mark-up session, HR 701 and HR 801 were both approved by voice vote.

We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by Wolters Kluwer Financial Services, Inc.