Brokers considering life as an independent investment adviser must be familiar with basic SEC requirements on registration and licensing. Maria McGarry, a noted expert in hedge fund and '40 Act compliance, discusses some of these requirements in this edition of 5 Questions. To learn more, click here
The Sutro Group's Fergus Henehan talks about the art of Proprietary Trading Reviews in the aftermath of the Societe Generale trading scandal. To access the discussion, click here
