In the bustle of the New Year, you may have missed the Feb. 28th deadline to comply with the SEC's new enhancements to proxy statements ...
Lots of registered reps would fight for full arbitration hearings to get complaints expunged from their records, if FINRA finalizes a proposal to have BrokerCheck ...
Firms that are GIPS compliant will have to disclose the volatility within a composite, their policies around valuation and whether their compliance has been verified. ...
It appears that some Form ADV, Part IIs on the SEC's IAPD system can be manipulated, which could pose a risk to some firms that ...
Be able to show "that you're aware of what's happening out in the regulatory world"
The nation's toughest data security regulation goes into force in days, and it will have ramifications far beyond the borders of Massachusetts. "This is just ...
You may have heard talk that a Senator is floating an amendment to pending financial regulatory reform legislation that would gut a plan to extend ...
A federal judge is being asked to throw out SEC civil charges against Robert Allen Stanford, in part citing that the Commission claims Advisers Act ...
Looks like the SEC will get to hear conversations among some Galleon casedefendants, if a federal judge's decision stands. Last week U.S. District Court Judge ...
In many ways it shouldn't be a surprise given the embarrassments of the last two years that OCIE exams are growing tougher (IA Watch, April ...