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 ...
When it all shakes out, FINRA will likely be given the authority to examine RIAs, the SEC will oversee the SRO's work, and the addition ...
More legal troubles have risen for the Fairfield Greenwich Group, as the SIPC trustee in the Bernard L. Madoff Investment Securities case has sued three ...
For the first time, the SEC has brought an enforcement action tied to the proxy voting rule [Advisers Act rule 206(4)-6], and the case's resolution ...
The biggest changes in the custody rule since 2003 call for an annual surprise exam - with an estimated average cost of $8,100 - for ...