On Sept. 26, 2019, the Securities and Exchange Commission (SEC) announced it had adopted a new Rule 6c-11 under the Investment Company Act of 1940 (the “Investment Company Act” or
Continue Reading SEC Passes Long-Awaited New Rule 6c-11 to Modernize Regulation of ETFs

As robo-advisers continue to grow in popularity with investors, especially millennial investors, at least one regulator is taking a closer look.  On July 14, 2016, Massachusetts Secretary of the Commonwealth
Continue Reading Massachusetts Offers Policy Guidance on Investment Advisers’ Use of Robo-Advisers