Last week Citigroup's number came up in the SEC's investigation of scandalous CDO sales tied to the real estate collapse, and it was another big ...
Earlier this month, all SEC employees received a letter from the agency's chief privacy officer alerting them of "an incident" involving a vendor hired to ...
With a myriad of platforms available to execute trades and clients dispersed across many of them, it can be a challenge for an adviser to ...
It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...
There's wisdom in organizations creating a chief risk officer position and it may make sense for the CCO to wear this hat, too - but ...
It's likely that sometime next month Rep. Spencer Bachus (R-Ala.) will formally introduce legislation that would open the way for FINRA to be the SRO ...
Last week SEC commissioners voted unanimously to join other federal regulators in proposing the so-called Volcker rule, named after the former Fed chairman (IA Watch, ...
The 2008 TARP law that some say saved the financial system also contained many other regulatory changes. Among these are phased-in IRS rules for shifting ...
Here's the scenario: Your marketers want to sit across the table from a group representing institutional investors. Among the materials they're anxious to showcase is ...
SEC Speech: Regulating Key Players in Security-Based Swaps, by Commissioner Luis A. Aguilar, on October 12, 2011 Speech by SEC Commissioner: Regulating Key Players in ...