SEC rules for what type of securities are required to be reported are fairly clear. But what about securities received as gifts?Certain closed-end funds, IPOs ...
Firms could try to use attorney-client privilege to avoid disclosure of mock exams or compliance audits. The maneuver has to be legitimate, though, and even ...
IA Week has obtained court documents from a Massachusetts case that reveal Ruth Madoff, wife of disgraced adviser Bernard Madoff, received $15.5 million from a ...
Bernie Madoff and the SEC have agreed to a partial judgment stemming from the registered investment adviser's alleged multi-billion Ponzi scheme, according to the SEC.The ...
Two of the lessons from the failure of Lehman Brothers last year are (1) contract with more than one broker and (2) know where your ...
If your firm issues unregistered securities, it's probably familiar with Form D - which gives the SEC notice within 15 days of an initial sale. ...
Later this year, the first batch of public companies will use an Internet markup language specially created for financial reporting to file their required documents ...
Consider creating a diagram of your firm to help you put together all of its pieces. And supplement this by setting up a spreadsheet of ...
Historians may debate the merits of the SEC's actions last fall to temporarily ban short sales of hundreds of securities but academicians are already studying ...
Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...