SEC Speech: The Abysmal Lack of Diversity in Corporate Boardrooms is Growing Worse (Commissioner Luis A. Aguilar; May 2, 2011) Statement by SEC Commissioner: The ...
SEC Speech: An Update on Diversity and Financial Literacy (Commissioner Luis A. Aguilar; April 30, 2011) Keynote Speech by SEC Commissioner: An Update on Diversity ...
Bank of America Corporation and Affiliates (“BAC”): No Action, Interpretive and/or Exemptive Letter of April 29, 2011 Securities Exchange Act of 1934 Section 16 Investment ...
This is the 2011 Form ADV, Part 2b brochure supplement for the Texas firm Sage Advisory Services.
No-Action Letter: New Mountain Finance Corporation (April 27, 2011) Investment Company Act of 1940 — Section 55(a) New Mountain Finance Corporation April 27, 2011 RESPONSE ...
SEC Deadlines for Form ADV BrochuresForm ADV, Part 2a Plain-English BrochureFiscal Year EndFile Brochure with IARDShare Brochure with New/Prospective ClientsShare Brochure with Existing ClientsDecember 31By ...
Last week U.S. District Court Judge Laura Swain in New York dismissed a lawsuit from two former investors harmed by Bernie Madoff's Ponzi scheme against ...
A federal judge has dismissed a lawsuit against Peter Madoff, the former CCO at the now infamous firm overseen by his brother, essentially ruling the ...
A recent SECno-action letter grants flexibility to an investment adviser that oversees mutual fund portfolios when it comes to alerting shareholders of the hiring of ...
Recent comments from SEC Chairman Mary Schapiro indicate that she expects the Commission to move forward and implement a new, uniform fiduciary duty standard for ...