More than 70 comments, many from RIAs, came in response to the SEC's proposed reforms to money market funds after last fall's debacle. Some expressed ...
As early as November the SEC's Inspector General expects to release another investigative report - this one peering into why OCIE examiners never visited Bernard ...
Online meeting spots like Facebook, LinkedIn and twitter tantalizingly offer the chance to reach younger potential clients at a cheaper cost but worries of running ...
Missed opportunities summarizes the SEC Office of Inspector General's investigation of the Madoff affair. David Kotz's 477-page report details failure after failure by staff to ...
Only one in every two U.S. workers is enrolled in some type of pension plan. This and other factors, such as the stock market collapse ...
Sen. Ted Kaufman (D-Del.) believes the SEC has drug its feet on new short selling restrictions so he's upped the ante by calling upon the ...
Here's the scenario. Your firm serves as a sub-adviser on a wrap program's large cap portfolio. The sponsor of the wrap program forbids the use ...
That Massachusetts data security rule you've heard so much about (IA Week, April 20, 2009) has been eased in some ways and the compliance deadline ...
At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insurance policies, ...
When college pitcher Bryan Price signed with the Boston Red Sox last year, he was looking for a place to park his $200,000 signing bonus. ...