Disclosure

The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative ...

You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...

NFA Compliance Rule 2-30(b) requires Members and Associates who are registered as brokers or dealers under Section 15(b)(11) of the Securities Exchange Act of 1934 ...

Four out of 10 financial professionals use social media for business purposes several times each week, according to American Century's latest annual survey released this ...

The phrase appears so often in SEC document request letters that it can be considered ubiquitous: examiners asking to see your "inventory of risks."But what ...

Many firms maintain a library of pre-approved answers that can be inserted into an incoming due diligence questionnaire (DDQ) or request for proposal (RFP). This ...

This is a copy of parts of FINRA's risk control assessment survey. The full survey can vary depending upon the online answers the respondent provides. ...

Rule 2-30 is intended to define "high standards of commercial honor and just and equitable principles of trade" as applied to a Member's procedures for ...

Click here to open a Word file that is an example of an N1–A form. A peer has its subadvisers complete this form so it ...

Examples of various disclaimers and disclosures submitted by your peers. Share yours. Contact Carl Ayers at 301–287–2435 or cayers@iaweek.com.