The SEC seemed to have its case against Ted Urban sealed tight. It didn't look good for theformer general counsel at Ferris Baker Watts in ...
It's perhaps the scariest part of the SEC's new Form ADV, Part 2 rule: the need to create brochure supplements for staff who provide clients ...
The agency is adding to its frequently asked questions around the custody rule. The most significant change is an addition made to a question about ...
Count this as an upcoming SEC requirement put off by the new Dodd-Frank reform law: The agency has released a no-action letter stating it wouldn't ...
You're probably debating the idea now: Should we produce the new narrative brochure in-house or hire an outsider? If you want to outsource the task, ...
It's a situation almost any adviser could find itself in these days when valuations fluctuate or defy easy assessment. Earlier this month the SEC dropped ...
Satisfy the SEC's vision of your job and you're a long way toward success. So let's examine another CCO duty on the list of 24 ...
This story begins a series in which we'll pass on expert guidance to help you comply with the SEC's new requirement for a narrative brochure ...
This news recalls Claude Rains declaring that he's "shocked, shocked" to find gambling at Rick's Place in Casablanca but it appears brokers are telling the ...
IA Watch has obtained a new SEC document request letter being used in a current sweep exam of advisory firms. The seven-page letter focuses "on ...