The Chicago Cubs might win the World Series before you see a final rule on Form ADV, Part 2 - and they've been waiting 102 ...
The Senate showdown last week with seven current or former Goldman Sachs employees included questioning about whether the firm was or should be under a ...
Keep a log of the marketing materials your firm sends out, including presentations. List who's giving the presentation, the audience, the date, whether the audience ...
A Midwest RIA weeks ago hosted six SEC examiners for three days. They left sooner than expected, and the CCO believes they scooted because of ...
With so many tripwires around new business activities, it's vital that compliance staff know what's in the works and how to protect the firm.Consider the ...
It’s expected two Senators (IA Watch, March 26, 2010) will next week seek to introduce their amendment that could expand the fiduciary duty standard to ...
Earlier this year we alerted you to a new type of SEC document request letter out of the agency's Chicago Regional Office (IA Watch, Jan. ...
The SEC has revamped how it handles whistleblowers with a centralized and dedicated system for tracking complaints (IA Watch, April 5, 2010). A newly released ...
With the Senate poised to consider financial regulatory reform, two senators - Daniel Akaka (D-Hawaii) and Robert Menendez (D-N.J.) - are ready to count the ...
The newly revised custody rule includes two requirements that went into effect with the rule March 12: (1) Include a legend with statements to clients ...