This browser is not actively supported anymore. For the best passle experience, we strongly recommend you upgrade your browser.
12 results for: broker-dealer
post featured image
On March 4, 2022, the U.S. Securities and Exchange Commission (SEC) charged venture capital fund adviser Alumni Ventures Group, LLC (AVG)...
post featured image
Earlier this year, we wrote about the GameStop saga of late 2020/early 2021 and its impact on U.S. capital markets. That drama led to...
post featured image
ERISA provides that a person is a fiduciary if they have discretion over a retirement plan or IRA (“Plan”) or render investment advice to...
post featured image
If you’re looking to raise capital for your company or fund, this new tool from the SEC can help you figure out which rules may apply and...
post featured image
Corporate image and reputation play major roles in what sells a company and its products—and at what prices. Whether a company is the...
post featured image
Last month, we issued an alert noting that the Reddit/meme stock short-selling saga of January 2021 may change the U.S. equity markets....
post featured image
Less than a year ago, in January 2021, GameStop Corp. - GME made national headlines when its stock price rose from under $19 on December...
post featured image
Last week, the SEC Division of Examinations published its observations of advisory fees charged by SEC-registered investment advisers...
post featured image
My corporate communications colleagues report their company's competitive environments are more crowded and dynamic than ever before....
post featured image
"Access to capital was the key differentiator in the 1990's, but a strong fabric of relationships is the major source of distinction in...
post featured image
What's Your Relationship Status?Many of my corporate communications colleagues are out hitting the pavement, social media platforms and...
post featured image
Take a quick read of my colleague Paul Jones' blog (linked below) from our awarding-winning Venture Best team on the importance of a...