If you didn't closely scrutinize the House's bill on executive compensation, you may have missed that it would cover investment advisers.The bill passed last month ...
Details have finally emerged on the changes Director Robert Khuzami has made to the Enforcement Division he heads. These include the establishment of five specialized ...
More than 850 people sent off comments to the SEC in response to the agency's proposed custody rule (IA Week, May 25, 2009), but agency ...
No promises were spoken, but some members of The Committee for the Fiduciary Standard left encouraged after an audience last month with two SEC commissioners ...
Reg S-AM has been six years in the making. The SEC last week released the final rule stemming from a revision in 2003 to the ...
Inside a Spartan room, seated at a low-rise table surrounded by four plastic chairs sat Bernie Madoff, dishing for more than four hours recently, naming ...
Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...
Last week's release by the SEC of its 32-page proposed pay-to-play rule aroused howls of protest from some corners, especially over its ban of use ...
This is getting to be a habit. The Federal Trade Commission has once again delayed implementation of its red flags of identity theft rule, this ...
Financial regulatory reform legislation will be ready for the President's signature by year's end, and it will include a mandate that hedge fund advisers register ...