Here's a strategy sure to pay dividends prior to your next SEC exam: obtain a copy of your region's latest SEC document request letter and ...
You could have the best personal trading policy around but if it doesn't give someone the responsibility to review the CCO's trading it contains a ...
You'll have to wait about two weeks for the first glimpse as to how the SEC and the Commodity Futures Trading Commission plan to harmonize ...
It may seem as if SEC examiners are marching into firms with calculators strapped to their belts like a cowboy's gun hanging from a holster. ...
A lesson for the modern age: develop policies to review your firm's computer security and install antivirus software across the system.A single hacker entering one ...
When Yogi Berra uttered his famous malaprop he wasn't speaking about the North American Securities Administrators Association's biennial compilation of best practices for advisory firms ...
After the second public meeting in five months to hear from the industry on short selling (IA Watch, April 13, 2009), SEC commissioners face a ...
Weeks after the SEC IG released his exhaustive investigation of the agency's dealings with Bernard L. Madoff Investment Securities (IA Watch, Sept. 14, 2009), David ...
A doubling of the SEC budget over the next six years. Assessing a new annual fee on investment advisory firms to pay for the cost ...
You knew it was coming and on Thursday Rep. Paul Kanjorski (D-Pa.), the chairman of a House Financial Services subcommittee, released draft legislation, including an ...