Investment Adviser Search Page for Form ADV
If you’re working with Form ADV, check out our Investment Adviser Registration Database. We have extracted more than 400 data elements from each filing, creating a visually and analytically rich...
View ArticleA Visual History of the Stock Market
Originally from the Stock Trader’s Almanac and featured today by The Christian Science Monitor business blog The Reformed Broker. Click the image above to enlarge the chart and read commentary. Find...
View ArticleSearch Exemptive Applications
Did you know that you can search Exemptive Applications on knowledgemosaic? These applications are filed on Form 40-APP under certain sections of the Investment Company Act of 1940. Submission type...
View ArticleTaking the Plunge: Who will be the first to submit an ADV under the new...
New Form ADV requirements include a Part 2 Brochure in “plain English” (Release No. IA-3129). The rule is presently in effect for new registrants, and will go into effect on March 31st for...
View ArticleDodd-Frank Focus: Proposed Form PF, SEC Release No. IA-3145
Who is affected The SEC is proposing new Rule 204(b)-1 under the Investment Advisers Act to require that SEC-registered investment advisers report systemic risk information to the SEC on Form PF if...
View ArticleImplementation of The Volcker Rule Conformance Period: A Primer
The Federal Reserve Board (“the Board”) has adopted the final rule implementing the conformance period during which banking entities and nonbank financial companies supervised by the Board must bring...
View ArticleWho has filed Form ADV so far in 2011, under the new rules? These guys.
On January 1, new SEC rules went into effect which required, among other things, that registered investment advisers update their ADV registration to include the now-mandatory Part 2 brochure. Most...
View ArticleTwitter Fever Hits J.P. Morgan
On Monday, February 28, the NY Times Dealbook reported that JPMorgan Chase’s Digital Growth Fund had invested in Superman Chris Sacca’s secretive Lowercase Capital holding company – with funding...
View ArticleLife Insurance Investment Funds Traced to Supporting Financial Adviser’s...
Photo by Jeff Kubina. Some rights reserved. In a complaint filed on March 3, the SEC alleged that former UBS Financial Services adviser Steven T. Kobayashi defrauded his customers out of almost $3.3...
View ArticleShadowland: Exempt Offerings and Individual Investors
In our forthcoming upgrade of the Knowledge Mosaic website in May, we will allow our subscribers to search on sales commissions and finder’s fees associated with securities offerings exempt from...
View ArticleList of 2011 Form ADV Filers Now Available on Investment Adviser Search Page
Photo by Elizabeth Roy. Some rights reserved. Included in the new SEC rules that went into effect on January 1st was a requirement that most investment advisers update their Form ADV registration with...
View ArticleThe Ribbon is Ready—Latest Enhancements to knowledgemosaic Coming Monday
Photo by Sarah E.K.D. Some rights reserved. If you haven’t already heard, or haven’t read this blog for the past several weeks, the official release date for a major new version of our platform – “KM3″...
View ArticleWe’re LRAM-ping It Up To Another Level!
While there are many new features we’ve released as part of KM3, arguably the most exciting is our new Laws, Rules and Agency Materials page, or LRAM for short. What’s so exciting about LRAM you ask?...
View ArticleThe Satterwhite Stunt: The SEC Filings as Political Satire?
On June 2, a 51-year-old unknown from Killeen, Texas, by the name of Johnny Earl Satterwhite quietly submitted a Form 3 insider filing with the SEC. In the document, he reported the purchase of $100...
View ArticleIPO of the Month: Bipartisan Broodmares and Not Just Another Weanling
Photo by Rennett Stowe. Some rights reserved. What’s more risky than betting on horse racing? Answer: Betting on betting on horse racing. And if you choose to invest in our featured June Initial Public...
View ArticleCongress Punts and the MSRB Takes a Knee
As has been often noted, the Dodd-Frank Act is in many respects a Congressional punt. Needing to appear proactive in response to the financial crisis, Congress passes a flawed bill which leaves most of...
View ArticlePandora and Zillow and Zynga Oh My! High Visibility IPOs of 2011 So Far
On occasion, we at blogmosaic highlight recent initial public offerings that strike us as strange or interesting. In many cases, their strangeness or interest is tied to their obscurity: these IPOs...
View ArticleThe Bamboom: A Fast-Growing Grass Has Investors Seeing Green
Photo by Joi. Some rights reserved. Bamboo is renowned for being the fastest growing plant in the world. Its status as an environmentally friendly raw material – a more sustainable alternative to...
View ArticleHere’s A Metric on the Facebook IPO You Won’t See Anywhere Else
It comes as no surprise that Facebook’s initial public offering has generated a lot of interest – and not just from prospective investors. Facebook’s bid to go public has grabbed the attention even...
View ArticleDon’t Bet on It
Photo by red betty black; some rights reserved. In January, we wrote about a new import the North American Derivatives Exchange (“NADEX”), an on-line futures exchange wholly owned by U.K.-based IG...
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