If your firm gets compensation from an affiliated custodian holding client ERISA and IRA accounts, pay attention to a new proposal from the Labor Department. ...
Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it ...
Before this week is out, the SEC's revised custody rule takes effect (IA Watch, Feb. 15, 2010), even as some suggest the agency should delay ...
Here's a way to detect if a trader's playing the old shell game. Check out the value of a security after it's been sold. Say ...
Last week the SEC released a final rule that gives the industry greater flexibility in how it formats notices in alerting investors they can find ...
The SEC has released its 220-page final rule on money market fund reforms, which will tighten risk-limiting conditions, require portfolios include more securities that can ...
As RIA Anchor Capital Advisors in Boston ($5B in AUM) met its fiduciary duty to its investors, the CPA it had entrusted to run its ...
In its latest action to discourage abusive short selling that some blame for a stumbling market, SEC commissioners voted 3-2 last week to give the ...
How to extend a fiduciary duty to certain broker-dealers has long tangled lawmakers and policymakers and this week members of the SEC's Investor Advisory Committee ...
You have responsibilities to avoid a breach of confidential client data thanks to the SEC's Reg S-P (IA Watch, Nov. 23, 2009), even as attention ...