A compliance log in an Excel format provided courtesy of Christina Sears, CCO at American Beacon Advisors in Fort Worth, Texas. This tool contains separate ...
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 proposed rule related to proxy disclosures related to the 33 and 34 Act as well as the investment Company Act. This proposal was ...
This is a final rule released by the SEC in 2009, entitled Interactive Data for Mutual Fund Risk/Return Summary. This affects open-end management mutual funds ...
A copy of an SEC document request letter from an exam initiated in June 2009.