The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...
Most enforcement actions begin as investor complaints or routine exams. The two-year investigation of Morgan Keegan sprouted in an unique way: from a college course ...
It's doubtful the SEC will want to weigh in on the ongoing debate over how to describe your fee arrangements. The agency would become concerned, ...
The latest prediction has the Senate taking up financial regulatory reform next week. Many NASAA members took the opportunity last week during their annual spring ...
It's a clear knockout. The victory in the recent U.S. Supreme Court case in Jones v. Harris goes to the advisory business, say K&L Gates ...
The formerly AAA rated CDOs tanked and investors allegedly lost more than $1 billion while Goldman and a VP made 'materially misleading statements and omissions' ...
A new notice from FINRA reminds broker-dealers that they may need to ask more questions to help spot any red flags regarding the "beneficial ownership" ...
The SEC is reaching out to you again to give you additional resources to help you master the special challenges that can come with serving ...
The Commission is making clear that recent money market reforms that take effect next month (IA Week, Feb. 1, 2010) will not vanquish a key ...
Congressional legislation may energize the SEC's program to entice whistleblowers to come forward if new suggestions from the agency's Office of Inspector General don't. IG ...