You can continue to use the SEC's sample clauses under Reg S-P in your privacy notices next year but the safe harbor around their use ...
Think back two years to when the market crisis provoked fear, helped to swing a national election and drew predictions of coming massive financial regulatory ...
Hot topics for SEC investigators related to mutual funds include the role of the board, valuation and advisory fees, according to the Mutual Fund Directors ...
SEC employees have a new internal hotline to alert Inspector General David Kotz of anonymous tips. Congress suggested such a hotline in its Dodd-Frank reforms. ...
The SEC should be completing its Dodd-Frank mandated study into the fiduciary duty standard next month (IA Watch, Aug. 2, 2010). Recently Commissioner Elisse Walterspoke ...
You wouldn't be faulted for thinking the Department of Labor has been kicking out lots of rules lately. The newest proposal would require 401(k) plan ...
In all the talk of the SEC's pay-to-play reforms a pending change in California may have been overlooked (IA Watch, Nov. 22, 2010). But given ...
It's not surprising that the SEC has proposed to push back the sunsetting of its principal trades exception until 2013. But the agency's newest proposal ...
Ted Urban just won't go away. Now the SEC's Enforcement Division wants the full Commission to revisit the case against the former general counsel at ...
More eyes will soon be trained on how your firm deals with elderly investors as a result of a multi-state effort to prevent financial abuse ...