The clock's ticking on perhaps the SEC's most important initiative affecting how retail investors receive advice. Last week, the Commission released a request for comment ...
James Dawson washed out of professional basketball and now the former investment adviser has been barred from the advisory industry for three years for cherry ...
Now that the Dodd-Frank bill has become law talk is shifting to preparatory steps for firms. One element of the law to keep in mind ...
The payday came last week for Glen and Karen Kaiser, who dropped a dime to the SEC about Karen's former husband and helped the agency ...
The final rule directs firms to write "a narrative brochure written in plain English" that is "succinct and readable," convert it into a PDF so ...
This one may have caught a few of you by surprise. The provision of the new financial regulatory reform law that can snag some firms ...
It looks like Mark Lay will spend the next decade behind bars. The former head of the now-defunct RIA MDL Capital Management Inc. in Pittsburgh ...
The newest SECdocument request letter that we share with you at www.iawatch.com hails from OCIE headquarters in Washington. It illustrates the interest examiners are taking ...
In action that has been a decade in the making, SEC commissioners Wednesday voted unanimously to require registered investment advisers to create a narrative, plain-English ...
If your firm serves as fiduciary to an ERISA pension plan, get ready for an onslaught in the next year of disclosures about compensation from ...