After the second public meeting in five months to hear from the industry on short selling (IA Watch, April 13, 2009), SEC commissioners face a ...
Weeks after the SEC IG released his exhaustive investigation of the agency's dealings with Bernard L. Madoff Investment Securities (IA Watch, Sept. 14, 2009), David ...
A doubling of the SEC budget over the next six years. Assessing a new annual fee on investment advisory firms to pay for the cost ...
You knew it was coming and on Thursday Rep. Paul Kanjorski (D-Pa.), the chairman of a House Financial Services subcommittee, released draft legislation, including an ...
Out with the old, in with the new. As the Treasury Department's insurance program for money market funds was phased out earlier this month, SEC ...
Turns out reports of the death of Form ADV Part 2 reform are premature, but books and records changes may have to wait, according to ...
Whatever legislation reforming financial services regulations that comes down from Capital Hill could include a model approach to compliance that mirrors RIAs' method. CCO David ...
Nearly 40% of respondents to a recent survey note they have worked with a professional to develop a financial plan, but this percentage beats out ...
A year after the market downturn and months after Madoff, the SEC is embarking on new reforms, fueled by new leadership, energy and focus, and ...
Compliance officers have never felt busier but they need to do a better job of mixing with the business teams and uncovering conflicts. "Unfortunately we're ...