Perhaps you've heard that SEC Chairman Mary Schapiro recused herself from voting on the recent SRO study release (IA Watch, Jan. 24, 2011) because of ...
Buried within the statistics cited in the SEC's new fiduciary duty study are numbers that show OCIE exams of RIAs have dropped consistently since 2004 ...
Concerns that investors need more data to better understand target date funds has led the Department of Labor and the SEC to propose new rules. ...
Make sure you revise your code of ethics, introduce new policies and procedures, create forms for recordkeeping and train staff about the SEC's new pay-to-play ...
Too many advisers are 'wasting a lot of money,' effort and time registering reps needlessly. 'They forget about the federal definition of an IA rep, ...
Click here to download a Word file that comes from a peer who shares the firm's form for new hires to complete to assist the ...
Securities Exchange Act of 1934 — Rules 14a-8(i)(3) and (8) H & Q Life Sciences Investors February 4, 2011 Joseph R. Fleming, Esq. ...
Click here to download a Word document that is a peer's policies and procedures for the SEC's pay-to-play rule.
The result fairly matched the rumors: SEC staff are recommending the Commission impose a "uniform fiduciary standard ... no less stringent" than the Advisers Act's ...
It comes around every year about this time, like the Super Bowl. The need to get staff to attest to having read, understood and complied ...