A bill proposed by a Republican in a Congress dominated by Democrats may not stand much of a chance but you may wish to know ...
In what began as a routine SEC exam in September 2008 has ended with fraud charges against a California investment advisory firm and its principal ...
For years, mostly institutional investors would issue their RFPs to advisers with that one line that would disarm: "Please include a copy of your most ...
Responding to an RFP by stating that your firm's most recent SEC exam ended with "no material weaknesses or deficiencies" could be misleading and violate ...
A proposed rule in the June 5, 2009 Federal Register designed to deter money laundering would declare mutual funds to be financial institutions under the ...
SEC Chairman Mary Schapiro argued for an increase in her agency’s budget before Congress on Tuesday. She urged lawmakers to approve President Obama’s proposed FY ...
Once again the SEC is showing other federal agencies how to chart new ground in the electronic age. The agency offers three Twitter accounts - ...
The controversial tactic of reaching out to advisory firm clients has become more real with the release of a four-page document the SEC states is ...
OCIE examiners descended upon one advisory firm in force in recent weeks. After they left, the CCO concluded "it went very well." One reason: the ...
Some believe the SEC has gone too far; others say not far enough. Consensus lines up with disapproval of the Commission's decision to propose that ...