Nanette Aguirre, Financial Regulatory and Compliance shareholder and MRAI executive committee member, will participate as a moderator at the Minorities in Restructuring and Alternative Investments (MRAI) Forum which will
Continue Reading Nanette Aguirre to Moderate the Minorities in Restructuring and Alternative Investments (MRAI) Networking Event

FINRA recently sent a sweep letter (or targeted exam letter) to select broker dealers, inquiring about those firms’ sale of non-traded Business Development Companies (BDCs).  BDCs are SEC-registered investment companies
Continue Reading FINRA Sends Targeted Exam Letter Concerning the Sale of Non-Traded Business Development Companies

Earlier this week, the SEC issued a Press Release announcing a Rule Proposal that would require SEC-registered investment advisers to adopt written business continuity and transition plans (BCP) as part
Continue Reading New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers