October 31, 2008
The SEC and NASAA have waived two separate charges for Investment Advisors for the 2009 calendar year. The first charge being waived is a systems charge for the Investment Advisor to access the IARD system. This fee used to be $30. The second charge is the fee to access the IARD system for each investment [...]
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October 30, 2008
(www.hedgefundlawblog.com)
Article by Bart Mallon (www.forexregistration.com)
This is part one of a two part discussion. This article will provide an overview of the likely requirements for Forex Disclosure Documents. The items in this Forex Disclosure Document Overview are based on the items discussed in “Disclosure Documents – A Guide for CPOs and CPAs” provided by the NFA [...]
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New Hedge Fund Podcast Posted
October 29, 2008We have just posted a new podcast which covers many of the issues which we’ve discussed over the last week. These issues include: NFA increases net capital requirements for Forex Dealers; DOL sues IA firm for ERISA violations; SEC Chairman Cox talks to Congress about hedge fund regulation; and, Barney Frank and Hedge fund Regulation. [...]