The sources won't permit their names to be used - and the SEC and FBI decline to comment - but there are mounting voices claiming ...
The new president of the North American Securities Administrators Association has laid out three top initiatives for the association and they all affect investment advisers. ...
Last week's announcement of the creation of three subcommittees hint that the SEC's Investor Advisory Committee will first take up fiduciary duty, investor education and ...
Perhaps it was the SEC's fraud charges that played a role in the disappearance of RIA owner Knox Fuqua of Charleston, W. Va., or maybe ...
A compliance officer in Texas is building a disclaimer library, an electronic array of carefully worded disclosures that she will be able to turn to ...
Another legacy of the Madoff case is SEC enforcement and exam staff will be more diligent, cover more bases, spend more time with firms, ask ...
Neither a borrower nor a lender be. Shakespeare couldn't have anticipated the world of high finance in the 21st century, yet his warning words hold ...
Last week ushered in a tweak to FinCEN's suspicious activity reports reporting system. Beginning Sept. 12, when you file a SAR, you will receive an ...
Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they ...
It appears the SEC has tracked down accused fraudster Glenn Manterfield (IA Week, Aug. 24, 2009). The agency had found it somewhat difficult to serve ...