Investment Advisers

Not only do you have a couple more weeks to share your thoughts on the Department of Labor's recent proposal to update its definition of ...
Summary of Investment Adviser and Broker-Dealer SEC Enforcement Cases FY 2010 v. 2009 Total enforcement actions against investment advisers increased significantly in fiscal year 2010, ...
If your firm uses a placement agent to lobby for New York City pension business, the agent may well have to register as a lobbyist ...
For years, the SEC has periodically reissued an expiring no-action letter for broker-dealers who rely upon investment advisers' customer identification programs (CIP) with nary a ...
Starting with each birthday after he turned 12, John Rogers, CEO of Ariel Investments ($5.1B in AUM) in Chicago, knew what his father would give ...
This is the week the SEC is to deliver to Congress its so-called section 914 study (IA Watch, Dec. 13, 2010). Many believe the Dodd-Frank ...
Last week's $119 million settlement between the SEC and Charles Schwab Investment Management ($204B in AUM) in San Francisco supplies a virtual scorecard for needed ...
If you're like most advisers, you're nowhere near finishing your plain-English Form ADV, Part 2 brochure. Book extra time, turn to colleagues, use a template ...
A central theme develops from many of the comments received by the SEC in its latest effort to weigh reforms to money market funds. The ...
Be alert. You might be required to register as a municipal advisor even if you don't really consider yourself one (IA Watch, Dec. 20, 2010).The ...
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