You'll find scores of questions the SEC has for the industry in its proposed short selling rule. The questions show the agency wishes to be ...
We've already alerted you that if any of your customers live in Massachusetts you have until next January to contractually require third-parties that handle certain ...
More than 60 brokers who worked for the Stanford Group Company– which included RIA Stanford Capital Management– are being sued by the receiver in the ...
Seward & Kissel LLP: No-Action letter dated April 15, 2009 Investment Company Act of 1940 — Section 24(f)(2) and Rule 24f-2 Seward & Kissel LLP ...
No-Action Letter: Iridian Asset Management LLC (April 14, 2009) Investment Company Act of 1940 — Sections 2(a)(4), 2(a)(9) and 15(a) Iridian Asset Management LLC April ...
The New York man, Andrew Samuels, who is having some success getting a court to freeze Peter Madoff's assets in a fraud suit is being ...
Don't let Form ADV, Part II's question about the balance sheet throw you if your firm maintains custody.Some wonder how to answer question 14 on ...
In a speech April 6 in Washington, SEC Chairman Mary Schapiro listed several "potential reforms" she's looking at, including requiring that "certain investment advisers have ...