SEC Speech: Opening Statement at SEC Open Meeting, by Chairman Mary Schapiro, on June 29, 2011 Speech by SEC Chairman: Opening Statement at SEC Open ...
Statement at Open Meeting to Propose Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (Commissioner Troy A. Paredes; June 29, 2011) ...
SEC Speech: Bringing Transparency and Fair Dealing to the Market for Security-Based Swaps, by Commissioner Luis A. Aguilar, on June 29, 2011 Speech by SEC ...
SEC Speech: Keynote Address at the Society of Corporate Secretaries and Governance Professionals 65th Annual Conference, by Commissioner Kathleen L. Casey, on June 24, 2011 ...
Click here to open an Excel file that a peer shared. It is an example of the firm's risk assessment, which could give you some ...
This Word file is a superb example of an RIA's risk assessment submitted by one of your peers. It may give you ideas for your ...
The SEC defines a family office as a firm set up by wealthy families to manage their money and provide tax and estate planning services. ...
Nearly six months after IA Watch reported Morgan Keegan had reserved $200 million to resolve fraud charges (IA Watch, Jan. 3, 2011), the company last ...
Conducting due diligence on the network firm is critical
With shades of the Goldman Sachs-Abacus CDO case, the SEC last week settled with J.P. Morgan for misleading investors - some of them investment advisory ...