A new report from the SEC's inspector general supports critics who have long argued the Commission has failed to enforce rules against abusive short sellers.The ...
Many of your compliance peers have expressed outrage at the SEC's newest exam tactic - reaching out to advisory clients as a means to confirm ...
Custody may top the list of topics currently drawing examiner interest but it doesn't represent the lone change to exams."We're much less predictable than we ...
You'd go a long way toward satisfying the SEC during an exam if you concentrated on (1) disclosures (2) custody (3) the accuracy of your ...
Copies of investor letters and e-mails from Bernard L. Madoff Investment Securities and sent to federal prosecutors.
Reports indicate the U.S. Second Circuit Court of Appeals in New York has denied Bernie Madoff's request to be released from prison until he's expected ...
UBS AG: No-Action letter dated March 20, 2009 Investment Advisers Act of 1940 — Rule 206(4)-3 UBS AG March 20, 2009 RESPONSE OF THE OFFICE ...
A new report from the SEC’s inspector general supports critics who have long argued the Commission has failed to enforce rules against abusive short sellers. ...
A copy of a 2009 document request letter that originated in the Chicago regional office of the SEC.
A copy of an SEC document request letter issued by the San Francisco regional office.