A copy of the “talking points” from Edward Jones for lobbying against an expanded fiduciary duty. This came up in the congressional debate in 2010 ...
Here is an SEC document request letter from an RIA exam out of the Los Angeles regional office in April 2010.
Click here to open an Excel worksheet designed to track the top 10 brokers selected for best execution purposes, including listing soft dollar percentages and ...
The SEC's frequently asked questions around its custody rule.
Click here to see a Word document prepared by Steve Stone, a partner at Morgan Lewis in Washington, on soft dollars guidance for RIAs.
Click here to read a copy of a peer's gifts and entertainment policy.
Click here to see an Excel spreadsheet from one of your peers that's called a Monthly Portfolio Compliance Report, and allows you to track trades ...
Here are sample questions you can ask during your annual review, courtesy of Karen Huey of Professional Compliance Assistance in Canton, Ga.
A copy of the amendment to Senate financial regulatory reform designed to replace a provision that would expand a fiduciary duty standard. This was proposed ...
An example of elements to fold into subadviser agreements from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.