The 2026 Priorities also highlight the SEC’s increasing attention to the use of emerging artificial intelligence (AI) technologies. In contrast, crypto assets, which were previously a stand-alone ...

Learn how to become a registered investment advisor (RIA) for more independence and fiduciary responsibilities, including required exams and filings.

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...

Advisers should put no price targets on an investment a client owns and give no forecasts of anticipated performance Advisers need to clearly distinguish between fact and opinion. When you meet with ...

The SEC’s Division of Investment Management has issued a no-action letter effectively clarifying that federally registered investment advisers can utilize a State Trust Company to hold clients’ crypto ...

The number of state-registered investment advisers held steady at more than 17,000 for the fourth straight year in 2020. There were 17,454 investment advisers registered at the state level last year, ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

CINCINNATI & BOSTON--(BUSINESS WIRE)--Gateway Investment Advisers, LLC (“Gateway”), an affiliate of Natixis Investment Managers (“Natixis IM”), today announced two strategic additions to its ...

CINCINNATI & BOSTON--(BUSINESS WIRE)--Gateway Investment Advisers (“Gateway”), a pioneer in options-based investment strategies and affiliate of Natixis Investment Managers (“Natixis IM”), today ...

The five largest Registered Investment Advisers based in the Charlotte area each manage over $100 billion in assets. Information on The List was obtained from Securities and Exchange Commission data ...