The Federal Trade Commission has again put off enforcement of its red flags rule that aims to deter identity theft (IA Watch, March 29, 2010). ...
Their respective staffs have put countless hours into understanding what caused the Dow's plunge on May 6 but a definite answer has proven elusive. At ...
You can count the days down to when the SEC will begin enforcing Reg S-AM - the affiliate marketing rule. The compliance date had been ...
Newly posted FAQs help fill in the compliance gaps in the SEC's new rule tightening money market fund requirements (IA Watch, Feb. 1, 2010). For ...
More than two years in prison stare Mark Kurland in the face. The former CEO of the RIA New Castle Funds ($971M in AUM) in ...
Many firms should be happy with the responses from the SEC in the agency's latest release this month of nine new or revised SEC FAQs ...
In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...
House-Senate conferees will meet next month to hammer out differences between their respective financial regulatory reform bills with key issues affecting investment advisers being among ...
The SEC is giving the industry 10 days to comment on a proposed rule that would pause trading in an individual stock if its price ...
Last Thursday the Senate passed historic financial reform legislation by a bipartisan vote of 59-39 (see how your Senators voted) without an amendment broadening a ...