The session had been billed as a talk about the SEC's new whistleblower rule but because the rule hasn't been finalized (IA Watch, Nov. 15, ...
The federal government's efforts to improve financial literacy have been disjointed and fragmented, and a Dodd-Frank provision that calls for a new Office of Financial ...
The firm's marketing presentation included a slide designed to show its buy-sell discipline. SEC examiners saw it differently. They felt the material amounted to a ...
One reason the SEC pushed the effective date for part of its pay-to-play rule to this September is because of the challenge for advisers to ...
IA Watch has obtained a copy of an SEC document request letter sent as part of a sweep exam by the Enforcement Division looking into ...
Investment Advisers Act of 1940 — Rule 206(4)-3 UBS Financial Services Inc. May 9, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
No-Action Letter: College Retirement Equities Fund (“Fund”) Shareholder Proposal of Aaron Levitt (May 6, 2011) Securities Exchange Act of 1934 — Rule 14a-8(i)(7) College Retirement ...
Speech by SEC Chairman: Remarks Before the Investment Company Institute's General Membership Meeting by Chairman Mary L. Schapiro U.S. Securities and Exchange ...
SEC Speech: Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference (Commissioner Elisse B. Walter; May 4, 2011) Speech by SEC ...
Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking ...