Proposed Rules for Nationally Recognized Statistical Rating Organizations (Commissioner Kathleen L. Casey; May 18, 2011) Speech by SEC Commissioner: Proposed Rules for Nationally Recognized Statistical ...
Opening Statement at SEC Open Meeting (Chairman Mary Schapiro; May 18, 2011) Speech by SEC Chairman: Opening Statement at SEC Open Meeting by Chairman Mary ...
Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings (Commissioner Luis A. Aguilar; May 18, 2011) Speech by SEC Commissioner: Continuing to Improve ...
You might want to warn your clients of some pump-and-dump schemes floating around that try to exploit publicity over Japan's recent earthquake and nuclear crisis. ...
What are you to do when two rules collide? It happens. Case in point is the SEC's new Form ADV rule and a 1988 no-action ...
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance-based fees. A new proposed rule issued ...
What began as two partners with $1,000 in 1997 grew into an RIA managing $7.2 billion 14 years later. But the story of Aletheia Research ...
It's being called the "largest hedge fund insider trading scheme in history" and the once "high-flying billionaire and hedge fund manager" Raj Rajaratnam faces the ...
Years after the Reserve Fund broke a buck, regulators continue to struggle for solutions to prevent a possible run on a supposedly stable money market ...
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance—based fees. A new proposed rule issued ...