Valuation bedevils firms, so why not turn to a tool that can help you document your process and feel as comfortable as you can these ...
Just weeks after the SEC warned to be on the lookout for bogus examiners (IA Week, March 9, 2009), one apparent investor took the law ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
You can download a couple of new SEC document request letters. One is a 17-page document that originated in the SEC's San Francisco regional office. ...
Past efforts by Congress to find out how the SEC missed master-scammer Bernie Madoff for so many years have been greeted with tight lips, as ...
If your firm employs multiple clearing companies you may find one of them would gladly dish out attractive incentives for you to make it the ...
Citing the recent surge in the number of registered investment advisers, SEC Commissioner Elisse Walter testified this month before the House Financial Services Committee asking ...
There are some technical and formatting errors with the filing of Form SH via EDGAR, the SEC reports.These errors may affect firms that file Form ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
March 16th has come and gone, which means the deadline has passed for all Form D filings with the SEC to be made electronically (IA ...