Securities regulators are seeking additional input on their controversial proposal to change the minimum net-worth requirements of hedge fund investors.
A rule took effect Sept. 10 that clarifies the SEC’s ability to go after hedge fund advisers who make false or misleading statements to investors.
The SEC has issued a proposal to relax accounting regulations for foreign firms that trade on U.S. exchanges.
Securities regulators continue sorting through public input on proposed rules that address broker-dealer financial responsibilities.
Oral arguments are scheduled for Nov. 5 before the U.S. Supreme Court in a case that could affect 529 college savings plans.
Congressional hearings held last month addressed the contentious issue of taxes paid by managers of hedge funds and private equity funds.
A bill introduced in August would create a commission to study the hedge fund and private equity industries.
The about-to-retire and the already retired have at least two things in common: Both want income they can’t outlive, and both want to leave behind a legacy. By employing philanthropic-planning techniques, a forward-thinking adviser can help clients of any age accomplish both goals — often very successfully.
