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The Investment Company Act requires a vote to approve a contract with an adviser of a registered investment company. Last week the SEC permitted American ...
If you're struggling over your firm's regulatory assets under management (RAUM), you're not alone in tabulating in doubt. The SEC promises to soon release frequently-asked-questions ...
That wind you hear may be the collective sigh of relief from advisers concerned this year's rush of registration for new advisers would force special ...
Spencer Barasch stood as the poster boy for critics of the revolving door between the SEC and the private sector after allegations surfaced three years ...
Now the Business Roundtable has entered the fray between the SEC and U.S. District Court Judge Jed Rakoff over the SEC v. Citigroup case and ...
The SEC is asking a federal judge in Washington to force the Securities Investor Protection Corporation (SIPC) to begin liquidation proceedings against Stanford Group Company, ...
Dodd-Frank ordered the SEC to look at its internal operations and find improvements. Last week the U.S. Chamber of Commerce offered up its own plan ...
The old CCOutreach meetings have been rebranded as the Compliance Outreach Program but the concept remains the same: a day-long seminar allowing the SEC's Division ...
One of the more tantalizing items cited in a new report to Congress about the SEC concerns a "supervisory attorney" in Washington who spoke for ...
A week that began with federal Judge Jed Rakoff rejecting another SEC settlement - claiming Citigroup's $285 million payment for violations related to mortgage-backed securities ...