Advertising Rule

Posting or Paying for a Review – SEC Changes Game for Testimonials and SolicitorsA New Approach to Advertising – the SEC Revises Investment Adviser Advertising Regulation

Blockchain & Digital Assets

Thompson Hine Event - RIA Merger Conference: Compliance, Regulation & GrowthCoffee Chat Webinar Series

Broker-Dealers

Thompson Hine Event - RIA Merger Conference: Compliance, Regulation & GrowthCoffee Chat Webinar Series

Business Continuity Plan

No Time Like the Present to Review Your Business Continuity Plan

Compliance

SEC Taps Industry Veteran Brian Daly to Lead Division of Investment ManagementSEC No Action Letter Streamlines Verification of Accredited Investors for Issuers in 506(c) Offerings

Crowdfunding

Crowdfunding Basics: Regulation of Crowdfunding Intermediaries

ESG

SEC Announces Withdrawal of Proposed Rulemaking ActionsSEC Taps Industry Veteran Brian Daly to Lead Division of Investment Management

ETFs

Upcoming Webinar: Delivering Investment and Trading Strategies Through ETPsTrump’s Executive Orders’ Impact on the ETF Industry

Events

Investment Management Coffee Chat Webinar Series

Form ADV

FinCEN Announces Postponement and Reopening of Investment Adviser AML RuleSEC Announces Exams Will Focus on Compliance with Form CRS

Fund Formation

SEC No Action Letter Streamlines Verification of Accredited Investors for Issuers in 506(c) OfferingsThe Real Winner of the Big Game? The NFL's Bottom Line

International

Coffee Chat Webinar Series

Investment Adviser

FinCEN Announces Postponement and Reopening of Investment Adviser AML Rule

Names Rule

SEC Extends Compliance Date for the Investment Company Act Names Rule

Private Equity

Thompson Hine Event - RIA Merger Conference: Compliance, Regulation & GrowthCoffee Chat Webinar Series

Registered Funds

SEC Taps Industry Veteran Brian Daly to Lead Division of Investment ManagementCongressman Introduces Resolution to Repeal SEC's Enhanced Mutual Fund Disclosure Rule

RIA

Thompson Hine Event - RIA Merger Conference: Compliance, Regulation & GrowthFinCEN Announces Postponement and Reopening of Investment Adviser AML Rule

Robo Advisers

Robo Advisors and Custody Rules of the RoadRegistering your robo-advisory firm – where and how?

SEC

Coffee Chat Webinar SeriesFinCEN Announces Postponement and Reopening of Investment Adviser AML Rule

SEC Exams

SEC New Cyber and Emerging Technologies UnitRemedying Past Deficiencies

Uncategorized

Thompson Hine Event: The Madoff Legacy and the Rise of Digital Ponzi SchemesCoffee Chat Webinar Series

White Collar

Top Five Takeaways from DOJ’s Newest Guidance for Investigation and Prosecution of White Collar Crimes