No-Action Letter: xx (date, 2010) Investment Company Act of 1940 — Section 17(f) LCH.Clearnet Limited March 16, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Bank of America has put much work into contemplating how a fiduciary duty standard would work throughout its organization but has held off on implementation ...
The line on the RIA's website caught the attention of the broker-dealer's CEO. It read "How's 10.5% fixed return sound?" The CEO tapped out an ...
Later this month, NASAA leadership is expected to vote on a model rule that would allow state laws on custody and Form ADV to more ...
With the hindsight provided by two years' time, SEC Chairman Mary Schapiro told a House subcommittee last week that former Commission general counsel David Becker ...
If a law student phones in the next couple of weeks, he may not be seeking a job after graduation. He could be calling to ...
Monday begins the SEC's pay-to-play rule - or at least most of it - with uncertainty around some parts. For example, should a CCO be ...
It's never easy to capsulize soft dollars usage. Take commission-sharing arrangements. This phrase creates confusion because regulators in England take it to mean one thing, ...
The Department of Labor should go ahead with its proposed revision of its fiduciary duty definition while tweaking it so that certain providers must more ...
A CCO can go far in shaping a SEC exam by making a good first impression."It's by no accident that we address our [document request] ...