When college pitcher Bryan Price signed with the Boston Red Sox last year, he was looking for a place to park his $200,000 signing bonus. ...
You'd be excused for thinking compliance officers are attracting the gaze of regulators what with the recent spate of cases charging CCOs (IA Week, July ...
You're not necessarily finished with your firm's Form ADV once you've completed your annual update. There are several items on the form that must be ...
Recently an investment advisory firm received a stern deficiency letter following an SEC exam for failing to maintain adequate records to back up a portfolio ...
The SEC is encouraging investors to seek out "the advice of an investment professional" if they're interested in leveraged or inverse ETFs. The unusual warning ...
The SEC has expanded the ability of investment advisory firms to rely on a third-party to produce required records in a new no-action letter in ...
If you have difficulty sorting an open-end exchange-traded fund from its closed-end cousin, imagine what your access persons must think.The SEC has determined that ETFs ...
An attorney for the SEC's Enforcement Division in Fort Worth, Texas, is scheduled to go to court Aug. 24 to face charges of misdemeanor assault ...
Two months after the SEC closed the comment period on its two proposals for addressing short selling the agency has thrown a new third option ...
Most advisory firms won't be troubled by FAS 157, the mark-to-market standard that has been so much in the news of late. The issue jumps ...