Those most recent FAQs from the SEC about its custody rule apparently haven't resolved all inquiries (IA Watch, May 31, 2010). We have come upon ...
The Commission last week unanimously approved a proposed rule that would require greater disclosure in advertising and marketing of target date funds. Chalk up the ...
It's not often the Big Apple takes from the Second City. Last week the SEC's regional office in New York ripped a page from its ...
The market tumult of the last couple of years handed you a great reason to review your policies and procedures around valuation. One best practice: ...
The element of surprise works to your advantage when attempting to convey a message of compliance to staff. Take this example. When former Alaska Governor ...
Each week the Federal Reserve releases financial figures. It seems to have escaped the news media's attention that the report for the week of May ...
Even before the rapid market slide of May 6thSEC Commissioners sought to review "whether market structure rules have kept pace with ... changes in trading ...
CCO and Managing Member Michael Miller of Miller Premier Investment Planning left no doubt how the Department of Labor should shape future regulations related to ...
A leak of confidential information about an SEC registrant to the Wall Street Journal has led to the agency's inspector general to call for the ...
The alleged Ponzi scheme features an RIA that may have ripped off Hollywood notables, a central figure who authorities claim used clients funds to buy ...
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