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What Are Exempt Reporting Advisers (ERAs)?

Exempt reporting advisers (ERAs) are specialized financial advisors who offer their services primarily to certain private investment and venture capital funds. These advisors are not required to register with the U.S. Securities and Exchange Commission (SEC) but still must report certain information. This unique role sets ERAs apart from other investment advisors, making them a […] The post What Are Exempt Reporting Advisers (ERAs)? appeared first on SmartReads by SmartAsset. ....

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PR News | Generative AI and the New SEC Marketing Rule

Two current, major developments in the finance world promise both a challenge as well as a once-in-a-lifetime opportunity for wealth management marketers. ....

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The Trend Continues: Increased Regulatory Focus On Privacy & Cybersecurity For Private Funds - Security

Recent enforcement actions highlight the increased regulatory scrutiny that private funds may face with respect to internal cybersecurity protocols and responses to cyber-crimes and cyber incidents under new. ....

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SEC Wants To Expand Custody Rule Scope

Securities and Exchange Commission SEC announced proposed overhaul of custody framework for SEC-registered investment advisers. The proposed reforms would amend and redesignate Rule 206(4)-2 under Investment Advisers Act of 1940, as amended, as Rule 223-1 under Advisers Act. ....

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How SEC's Proposed Custody Enhancements Would Affect Crypto

New York Department of Financial Services issued Guidance on Custodial Structures for Customer Protection in the Event of Insolvency emphasizing importance of sound custody and disclosure practices. This month Securities and Exchange Commission SEC did same. ....

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