If you haven't visited the Investment Advisers Public Disclosure website recently, you've missed a new addition: the opportunity to search for information on 220,000 investment ...
The SEC has set up a website with Q&As related to its 30b1-7 final rule that it released earlier this year. The site provides compliance ...
Most ERISA plan fiduciaries must annually electronically file with the Department of Labor a Form 5500. One mistake many fiduciaries commit is filing late. Other ...
Many firms lump their policy disclosures to clients when they offer their annual Form ADV, Part II. Be careful. Some firms forget to include a ...
The death of Sen. Robert Byrd (D-W.Va.) may have delayed a final Senate vote on financial regulatory reform until next week, but Washington insiders say ...
Thirteen days after SEC examiners arrived last month at his RIA to conduct a for-cause exam inspired by a tip, CEO/CCO Ken McLeod shot himself, ...
SEC commissioners voted unanimously Wednesday to adopt new Advisers Act rule 206(4)5 to counter so-called pay-to-play frauds in which advisers pony up for the right ...
Rose Rudden is looking at a $65,000 fine and at least a one-year bar from supervision after an administrative law judge sided with the SEC ...
Some firms that are considered the highest frequency traders have received subpoenas for data designed to help regulators understand the cause of the May 6 ...
You have until August 23rd to let the SEC know what you think of its new target date funds proposal. The proposed rule has been ...