Last week the SEC released a final rule that gives the industry greater flexibility in how it formats notices in alerting investors they can find ...
The SEC has released its 220-page final rule on money market fund reforms, which will tighten risk-limiting conditions, require portfolios include more securities that can ...
As RIA Anchor Capital Advisors in Boston ($5B in AUM) met its fiduciary duty to its investors, the CPA it had entrusted to run its ...
In its latest action to discourage abusive short selling that some blame for a stumbling market, SEC commissioners voted 3-2 last week to give the ...
How to extend a fiduciary duty to certain broker-dealers has long tangled lawmakers and policymakers and this week members of the SEC's Investor Advisory Committee ...
You have responsibilities to avoid a breach of confidential client data thanks to the SEC's Reg S-P (IA Watch, Nov. 23, 2009), even as attention ...
In the bustle of the New Year, you may have missed the Feb. 28th deadline to comply with the SEC's new enhancements to proxy statements ...
Lots of registered reps would fight for full arbitration hearings to get complaints expunged from their records, if FINRA finalizes a proposal to have BrokerCheck ...
Firms that are GIPS compliant will have to disclose the volatility within a composite, their policies around valuation and whether their compliance has been verified. ...
It appears that some Form ADV, Part IIs on the SEC's IAPD system can be manipulated, which could pose a risk to some firms that ...