Investment Advisers

The decision by the SEC's Division of Investment Management expressed in a new no-action letter to permit a U.S-based firm that manages more than $150 ...
It's called NEMO or the NASAA Electronic Examination Modules and it's likely that next year a state examiner visiting a state-registered adviser will use it ...
This month Morgan Stanley expects to begin to roll out the business use of LinkedIn and Twitter by 600 financial advisers. The advisers will be ...
This interim final rule from July 2011 provides exemptions for security-based swaps due to Dodd-Frank.
No-Action Letter: J.P. Morgan Securities LLC (July 11, 2011) Investment Advisers Act of 1940 – Section 206 and Rule 206(4)-3 J.P. Morgan Securities LLC July ...
This is a document request letter the SEC sent to an RIA in the Atlanta regional office.
This is a 2011 SEC document request letter sent to an adviser to an Investment Company Act fund.
This is an SEC document request letter sent to an RIA firm within the Chicago regional office.
As the SEC was telling the industry the verdict on which states don't conduct exams on June 22, Minnesota authorities apparently had a change of ...
Business development companies can use the same Investment Company Act exception to avoid running their selection of a public accountant past shareholders as other funds, ...
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