This is an SEC document request letter from an exam of an RIA. This includes questions for managers of wrap fee programs.
In its first new custody rule frequently asked question in months, the SEC's Division of Investment Management states it wouldn't recommend enforcement action against any ...
Charles Hanlon claimed his RIA, Delta Global Advisors in Huntington Beach, Calif., was much larger than it was - and somehow thought the SEC wouldn't ...
As the hours tick toward a budget showdown that could shutter much of the federal government, the SEC has released its contingency plan to the ...
IAWatch.com includes several examples of new audit reports required by the SEC's revised custody rule. Depending upon a firm's level of custody, they would have ...
Some reports predicted as many as 3,000 RIAs would miss their deadline for uploading their Form ADV, Part 2a plain-English brochure. In reality, it appears ...
If the federal government remains open for business this week, you'll have a couple of extra days to share your thoughts with the Department of ...
In walks through your firm's door a qualified prospective client who differs from the rest in one way - he's a foreign national living in ...
Merrill Lynch may hold the record. It produced and uploaded 14 Form ADV, Part 2a brochures prior to last month's deadline. Goldman Sachs used several ...
A federal court in Massachusetts has ruled that a provision in the Dodd-Frank law that nullifies pre-dispute arbitration agreements between reps and firms when reps ...