Last week SEC Commissioners voted unanimously to seek public comment about how to change proxy voting rules that have been in place since disco ruled ...
Eight days after the Commission approved an Enforcement case against RIA Morgan Keegan & Company ($3.4B in AUM) this spring (IA Watch, April 12, 2010), ...
Our story last month about Massachusetts's mistake in shipping us a disk loaded with reps' personal information - including Social Security numbers and birth dates ...
Gary Aguirre has been a thorn in the SEC's side since the Commission fired him in 2005. Last month the agency agreed to pay the ...
This week shapes up as a big one for RIAs as the Commission is set July 21 to consider a final rule that would force ...
It appears RIAs with AUM under $100 million will have 12 months to slide over from SEC registration to their state's once President Obama signs ...
A healthy chunk of the financial regulatory reform legislation covers changes to derivatives rules. But it will be years before regulators promulgate and implement their ...
If you haven't visited the Investment Advisers Public Disclosure website recently, you've missed a new addition: the opportunity to search for information on 220,000 investment ...
The SEC has set up a website with Q&As related to its 30b1-7 final rule that it released earlier this year. The site provides compliance ...
Most ERISA plan fiduciaries must annually electronically file with the Department of Labor a Form 5500. One mistake many fiduciaries commit is filing late. Other ...