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 ...
Deutsche Bank Microcredit Development Fund, Inc.: No Action, Interpretive and/or Exemptive Letter of April 8, 2011 Securities Act of 1933 Section 3(a)(4) April 8, 2011 ...
No-Action Letter: Nationwide Mutual Funds, et al. (April 5, 2011) Investment Company Act of 1940 — Section 15(a) Nationwide Mutual Funds, et al. April 5, ...
As lawmakers struggle to keep the government funded past April 8, the Financial Planning Coalition responded after reports surfaced that FINRA has hired former Congressman-turned-lobbyist ...