The final rule completes one of the long-awaited changes from the Gramm-Leach-Bliley Act – a model privacy form for firms to share with clients. You ...
When people point to the first sign of the trouble that led to the market meltdown they may cite the collapse of two Bear Stearns' ...
This final rule published in November 2009 simply extends the compliance deadline for Reg S-AM, which concerns rules for affiliate marketing, from Jan. 1, 2010 ...
The final rule from the SEC that outlines the rules for affiliate marketing.
The meeting was so important it warranted being broadcast to all of the SEC's regional offices, yet the doors were closed to the public.IA Week ...
Don't feel badly if this one failed to pop up on your radar screen. The IRS only recently has made clear that it expects hedge ...
An adviser has won round 2 in an ongoing legal battle with a damaged investor who claimed the firm failed to spot a Ponzi scheme ...
Despite some bills in Congress that would mandate the registration under the Advisers Act of advisers of hedge funds and other private funds (IA Week, ...
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 ...