You have until Tuesday to comment to the North American Securities Administrators Association about the changes being made to the U4 and U5 forms (IA ...
The most controversial part of the SEC's proposed custody rule hovers around declaring a firm as maintaining custody if it electronically deducts client fees (IA ...
Reaction to President Obama's regulatory reform plan is generally positive but observers note the real details will be hashed out in Congress, which may radically ...
Investment advisory firms can find much to be pleased with in President Obama's plan for financial services regulatory reform. It doesn't call for an IA ...
Four months after the FBI raided the Houston offices of his international empire, federal prosecutors have charged Robert Allen Stanford and others with mail and ...
The SEC has requested additional information from more than two dozen pension fund managers and others in its on-going investigation into so-called pay-to-play pension schemes(IA ...
That controversial tactic by SEC examiners to reach out to clients during exams and ask them about the safety of their assets may have staying ...
A former CCO who co-founded an investment advisory firm 16 years ago has settled a civil case with the SEC but awaits criminal charges in ...
Numbers of RIAs that would shift to state registration if AUM threshold is raised to $100 millionAs the Obama administration prepares to release its plan ...
One has run the largest pension funds in the U.S. and England. Another invests exclusively in socially responsible companies. A third proudly waves the flag ...