Within days of a settlement in a civil court case against Citigroup Global Markets Inc., the registered adviser at the center of the auction-rate securities ...
The controversial fair value accounting standard known as FAS #157 didn't have a broad impact in the recent failure of U.S. banks and the standard ...
Should that summer intern fall under the strictures of your firm's personal trading rules? How about those temporary workers or consultants? You decide, as most ...
Few changes suggested to SEC's money-market ruleThe SEC's temporary rule aligning the Investment Company Act with the Treasury Department's money-market guaranty program generated only a ...
A 61-year-old retiree who "lost virtually her entire life savings" to Bernard Madoff's advisory business has announced plans to sue the SEC for failing to ...
The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance agents will be ...
It's May 2007. In weeks, two hedge funds at Bear Stearns Asset Management would falter - triggering the plunge that touched off the world's current ...
Let's acknowledge upfront the difficulty in forecasting the year ahead - given the spectacular surprises 2008 unleashed, ones that would have defied prediction one year ...
Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...
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