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At times, people ask me whether there is one state in particular that is optimal for investment adviser registration purposes. I am quick to point out that the requirement to register an investment adviser in a certain state depends on whether the investment adviser maintains its principal office and place of business (“popb”) in the

Over the past few years, I have been asked a handful of times whether a registered investment adviser may outsource the role of the Chief Compliance Officer. While there are compliance firms that offer such a service, I personally discourage registered investment advisers from outsourcing their CCO.

Rule 206(4)-7 (the “Compliance Rule”) under the Investment

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Investment advisers are responsible for filing Form ADV Part

On September 6th, the U.S. Securities and Exchange Commission issued a Risk Alert,  providing investment advisers with information regarding the Division of Examination’s process by which they select advisers for examination. The Division also included an attachment that mirrors the Division’s typical initial request for documents and information. 

The staff shared the following reasons

Investors seeking EB-5 status in the United States often turn to an attorney specializing in Immigration Law to draft the necessary petitions and disclosure documents. However, it is very important that the attorney also have an understanding of applicable securities laws. The EB-5 program allows eligible foreign investors and their immediate families to obtain U.S.

Investors who wish to acquire permanent residence in the United States may seek such status by applying to the United States Citizenship and Immigration Services agency (“USCIS”) for a foreign investor visa. The U.S. Congress created this immigrant visa category (EB-5) to benefit the U.S. economy by providing an incentive for foreign capital investment in