Advisory firms are supposed to - under the SEC's revised custody rule - hire only accountants registered with and inspected by the Public Company Accounting ...
With the clock winding down toward expiration of the nation's ability to pay its bills, a House subcommittee took time last week to assail the ...
Last week SEC commissioners reacted to the flash crash of May 6, 2010 by unanimously approving a final rule that requires large traders - including ...
IA Watch has learned that advisers from Miami to L.A. recently received "limited-scope" exam request letters from the SEC. Like the so-called Chicago letter (IA ...
This month the SEC's new whistleblower rule takes effect. One of the scariest aspects of the rule is its prohibition against engaging in any retaliation ...
Has your firm glanced lately at its insurance policy? Your directors and officers' (D&O) coverage may need to be adjusted considering that Dodd-Frank gave the ...
Three waste baskets occupy each office at John A. Wolfe & Associates ($400M in AUM) in Portage, Mich. One takes standard trash. A second is ...
SEC Speech: Remarks before the Forum for Corporate Directors, by Commissioner Kathleen L. Casey, in San Diego, California, on March 22, 2011 Speech by SEC ...
Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC July 29, 2011 RESPONSE OF THE OFFICE OF ...