You can make your voice heard - or rather tack your name onto a growing list of those urging Congress to mandate an "authentic" fiduciary ...
Over time we've shared many current SEC document request letters with you. The latest one, courtesy of one of your peers, diagrams the hot topics ...
Be cautious about accumulating too large a pool of soft dollar credits. You could see them vanish in a flash, or be accused of not ...
Reports indicate the SEC's new Director of Enforcement Robert Khuzami has shuffled around the division, including setting up units with special expertise. He may be ...
The long march toward financial regulatory reform took some giant leaps last week, with several congressional hearings, a proposed bill and lobbyists stepping up their ...
SEC Chairman Mary Schapiro supports the client's interest standard within the proposed Treasury Department bill and reads it as applying a fiduciary duty. She also ...
The SEC’s Director of the Office of Compliance Inspections and Examinations Lori Richards is stepping down effective August 7, the Commission announced today. Richards has ...
Expect a proposed SEC rule in the next few days, which you'll be able to comment on, that seeks to bring more transparency to proxy ...
The proposed rule the SEC approved last month can now be found in black and white. The agency has released a 197-page proposed rule that ...
A federal judge in Houston last week sided with the government and declared accused Ponzi schemer Robert Allen Stanford a risk to flee to avoid ...