Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would spell out ...
The 2,300-page financial regulatory reform bill inked into law last week by President Obama will play out over years, touching the entire industry. We focus ...
One CCO didn't do enough to preserve firm records, including instant messages. The other pilfered from clients, helping to scuttle his wife's firm.Earlier this month, ...
Last week SEC Commissioners voted unanimously to seek public comment about how to change proxy voting rules that have been in place since disco ruled ...
Eight days after the Commission approved an Enforcement case against RIA Morgan Keegan & Company ($3.4B in AUM) this spring (IA Watch, April 12, 2010), ...
Our story last month about Massachusetts's mistake in shipping us a disk loaded with reps' personal information - including Social Security numbers and birth dates ...
Gary Aguirre has been a thorn in the SEC's side since the Commission fired him in 2005. Last month the agency agreed to pay the ...
This week shapes up as a big one for RIAs as the Commission is set July 21 to consider a final rule that would force ...
It appears RIAs with AUM under $100 million will have 12 months to slide over from SEC registration to their state's once President Obama signs ...
A healthy chunk of the financial regulatory reform legislation covers changes to derivatives rules. But it will be years before regulators promulgate and implement their ...