Last week the GAO issued a report investigating target date funds and recommending the Department of Labor amend its proposed rule to require fiduciaries to ...
Dissatisfaction with the SEC's proposed municipal advisor rule centers on how the agency plans to define a municipal employee, not the stance that RIAs that ...
IPads appear to be all the rage, and their business potential doesn't escape even the casual user, what with its rapid access to the Internet ...
You don't have to dig deeply into many of the 180 industry comments to the Department of Labor's proposed rule to revise its 35-year definition ...
Key SEC staffer informed Commission of Madoff profits two years ago The SEC is casting doubt on the initial story put out last week by ...
The question of state exam programs plays a significant role in the Dodd-Frank reforms because an RIA that manages under $100 million won't have to ...
Click here for a Word file that is a peer's pre-clearance form for staff to complete and submit to the compliance department before making a ...
The DOL has decided to move the effective date of new ERISA disclosure rules from this July until next January (IA Watch, Aug. 23, 2010). ...
Disclosure problems often cause trouble for firms but it's not every day the SEC points its finger at the quality of the CCO.Last week Envision ...
Some people ache to cross the finish line first. Here's some advice from peers who have already written and uploaded their new plain-English brochures and, ...