It looks like an SEC proposed rule against "pay-to-play," which would have curtailed the business of placement agents, will be eased. Provisions in the proposal ...
The Federal Trade Commission hopes to begin enforcing its red flags rule preventing client identify theft in June (IA Watch, Nov. 9, 2009). But a ...
A hedge fund manager in New York is claiming vindication of his long-held view that the SEC inappropriately investigated him after he had complained about ...
The vendor had a special gift for the head trader: a primo ticket to the big college football tussle pitting Texas against Oklahoma. The CCO ...
There's no question you must respond seriously and swiftly when you receive a document request letter from the SEC. But this doesn't mean the agency ...
There's an obscure reference on page 13 of the new proposed legislation from Sen. Chris Dodd (D-Conn.) that reads "any financial planner that is registered ...
The last two years have spotlighted the need for advisory firms to conduct sound due diligence before moving investors' cash to another entity. Chances are ...
In perhaps one of the last times an SEC chairman would have to ask Congress for more money, Chairman Mary Schapiro told lawmakers last week ...
The First Circuit Court of Appeals in Boston handed the SEC - and private practice attorneys - a stinging defeat in a case that claimed ...
Last week we mentioned you should get moving on that new legend requirement for account statements within the revised custody rule (IA Watch, March 15, ...