At first blush, the SEC's new proposal requiring large traders to report their transactions to the Commission would seem to fly high above most advisers. ...
Two authors, each heavyweights in the industry, separately revealed in Washington last week their views of what prompted the crisis and what needs to be ...
The Treasury Department has squeezed mutual funds into the definition of a financial institution under the Bank Secrecy Act, meaning funds will have to have ...
The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...
Most enforcement actions begin as investor complaints or routine exams. The two-year investigation of Morgan Keegan sprouted in an unique way: from a college course ...
It's doubtful the SEC will want to weigh in on the ongoing debate over how to describe your fee arrangements. The agency would become concerned, ...
The latest prediction has the Senate taking up financial regulatory reform next week. Many NASAA members took the opportunity last week during their annual spring ...
It's a clear knockout. The victory in the recent U.S. Supreme Court case in Jones v. Harris goes to the advisory business, say K&L Gates ...
The formerly AAA rated CDOs tanked and investors allegedly lost more than $1 billion while Goldman and a VP made 'materially misleading statements and omissions' ...
A new notice from FINRA reminds broker-dealers that they may need to ask more questions to help spot any red flags regarding the "beneficial ownership" ...