SEC Operations

A new 4-page investor bulletin from the SEC mentions investment advisers but doesn't educate potential investors on how you differ from broker-dealers. It does contain ...

For the third time in four years, the U.S. Supreme Court will hear a case involving an investment adviser that could have broad ramifications for ...

It's no secret the pending election has slowed regulatory activity from the Commission. Still, there are some items in the pipeline that may emerge before ...

The SEC's revised custody rule left some advisers to 529 college savings plans concerned they would have to undergo a surprise annual audit by a ...

The two SEC Republican commissioners hit back hard last week at Chairman Mary Schapiro over her now scuttled plans to reform money market funds (IA ...

IA Watch has learned that long-time SEC employee Robert Plaze, who just last year was named the deputy director in the Division of Investment Management, ...

Norm Champ, who joined the SEC's Office of Compliance Inspections and Examinations (OCIE) in 2010 after leaving Chilton Investment Company ($8.7B in AUM) in Stamford, ...

You may never have heard of Ken Joseph but he's about to have a big impact on how the SEC examines investment advisers and companies. ...

Drum roll, please. The SEC last week announced the likely universe of investment advisers post-Dodd-Frank. The number of RIAs currently stands at 12,623 but this ...

It was just a coincidence that the Federal Reserve released a survey showing Americans' median family income has dropped 8% since the financial crisis (blamed ...