Andrew K. Sledd

Partner

​​Andrew specializes in auditing broker/dealers in securities, non-registered investment funds and registered investment advisers. He is a member of the Firm’s Financial Services Industry team and possesses a comprehensive understanding of SEC and FINRA rules and regulations. Read more of Andrew’s insights on our blog.

Andrew K. Sledd

Meet Andrew

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Potential Changes Coming to the SEC’s Custody Rules in 2023

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Key Comments from the SEC’s Proposal Affecting Private Funds

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Are Additional Operating Burdens Coming for Private Fund Managers?

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2 Main Reasons for the Growth in Mega RIAs

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What Private Fund Advisers Need to Know about the SEC’s Risk Alert

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Updates on Regulation Best Interest (Reg BI)

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SEC Best Interest Regulation – Reg BI

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How Do You Get Investors Comfortable with Cryptocurrencies?

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Navigating the DOL Fiduciary Rule

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Dodd-Frank Rulemaking Era Coming to a Close

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SEC Releases Frequently Asked Questions Concerning the Broker-Dealer Financial Reporting Rules

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PCAOB Broker-Dealer Update

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SEC Passes New Rules for Broker Dealers

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