A source shares with us a copy of the so-called "Unicorn" sweep letter. This 2016 SEC sweep examined mutual fund advisers that held securities in ...
A source shares a copy of a letter used by entities connected with 2016 Democratic presidential candidate Hillary Clinton in soliciting political contributions. The element ...
Nancy Lininger, a consultant with The Consortium in Camarillo, Calif., has given us permission to share with you her template for a memo to your ...
This is an Excel spreadsheet log designed for tracking the potential 31 fields of client data that can be requested by OCIE examiners. This can be ...
This is the first set of potentially three frequently-asked-questions release by the U.S. Department of Labor targeting the agency's fiduciary duty rule. This is designed ...
This letter comes from an exam launched by the SEC's San Francisco Regional Office.
The Staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to ...
Form the SEC has created for open-end mutual funds to report their liquidity status to the agency.
Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof ...
Form N-CEN is to be used by all registered investment companies, other than face-amount certificate companies, to file annual reports with the Commission. Such reports ...