What Does Dodd-Frank Mean For Investment Advisers: Best Practices and Tips for Avoiding Potential Pitfalls
January 28, 2011
Some of the topics we will cover include:
- What you need to know to comply with Dodd-Frank
- Navigating the Form ADV changes
- Hot topics and recent trends in SEC exams and enforcement
Presenters: Terry Nelson and Lisa Tharpe, Foley & Lardner LLP
Lunch will be served.
People
Related Insights
August 1, 2025
Foley Ignite
Is an IPO Window Opening for H2 2025?
Executive Summary The IPO market is showing encouraging signs of recovery in 2025, with 201 companies going public year-to-date compared…
August 1, 2025
Foley Viewpoints
Maryland Insurance Administration Proposes to Revise Regulation Governing Disclosures of Credit Scoring Use in Private Passenger Automobile Insurance Rating
The Maryland Insurance Administration recently proposed to revise a regulation regarding the use and disclosure of credit history in underwriting and rate making for personal automobile policies.
July 31, 2025
Foley Viewpoints
Tsunamis and the National Flood Insurance Program
On July 30, an 8.8 magnitude earthquake occurred off of Russia’s Eastern Kamchatka coast, subsequently triggering tsunami warnings in, among other places, Japan and Hawaii.