When SEC examiners descended upon the Stanford Group Company in January, they kept alluding to their 2006 visit, which drew blank stares from the compliance ...
Satisfying the SEC when it comes to valuation begins with having policies and procedures that are consistent and take into account contingencies, but the job ...
Copy of June 2009 lawsuit filed against Austin Capital Management tied to Madoff losses.
RBC Capital Markets Corporation: No-Action letter dated June 10, 2009 Investment Advisers Act of 1940 — Rule 206(4)-3 RBC Capital Markets Corporation June 10, 2009 ...
Banc of America Securities LLC: No-Action letter dated June 10, 2009 Investment Advisers Act of 1940 — Section 206 and Rule 206(4)-3 Banc of America ...
A copy of the SEC's document request letter from its January 2009 exam.
Deutsche Bank Securities Inc.: No-Action letter dated June 9, 2009 Investment Advisers Act of 1940 — Section 206(4) Deutsche Bank Securities Inc. June 9, 2009 ...
Examples of a quarterly report of personal securities transactions and a personal trading quarterly report form courtesy of Robert Lavigne at GW & WADE in ...
The aftermath of the burgeoning scandal around New York's largest pension fund (IA Week, May 4, 2009) appears to be driving the SEC next month ...
A new report from the Government Accountability Office finds the SEC's Reg SHO had at least a temporary effect to reduce the number of securities ...