In a bipartisan letter timed to next week’s Commission meeting addressing short selling, six senators are urging SEC Chairman Mary Schapiro to oversee the reinstatement ...
The Financial Accounting Standards Board responded to calls in Congress and on Wall Street to relax its mark-to-market rules. This week FASB, meeting in Philadelphia, ...
Massachusetts authorities have charged Fairfield Greenwich Advisors and Fairfield Greenwich (Bermuda) with securities fraud for failing to perform due diligence and shirking their fiduciary duty ...
Senator Christopher Dodd (D-Conn.) and Rep. Barney Frank (D-Mass.) – two congressional leaders over financial services legislation – have written President Obama pledging their “commitment ...
There are some technical and formatting errors with the filing of Form SH via EDGAR, the SEC reports.These errors may affect firms that file Form ...
Now the legal spotlight has shifted to Bernard Madoff's brother, Peter, who worked for decades at Bernard L. Madoff Investment Securities - including as CCO. ...
In testimony March 26 before Congress, Treasury Secretary Timothy Geithner called for the creation of an independent regulator to monitor systemic risks, higher capital standards, ...
Registered investment advisers who serve as pension consultants and "adequately disclosed their conflicts of interest" oversaw higher returns than their counterparts that "failed to disclose ...
Valuation bedevils firms, so why not turn to a tool that can help you document your process and feel as comfortable as you can these ...
Just weeks after the SEC warned to be on the lookout for bogus examiners (IA Week, March 9, 2009), one apparent investor took the law ...