Investment Advisers

This is a Word file that contains a script you could use at your firm when portfolio managers and others talk with researchers, consultants or ...
No one's talking but a recent SEC filing by Regions - owner of the RIA Morgan Keegan & Company ($8.4B in AUM) in Memphis - ...
The latest voices being raised to the SEC against an SRO (IA Watch, Dec. 13, 2010) come from three industry groups that have formed the ...
It would be reasonable for you to seek a break after a raucous 2010 but don't expect one. Predictions for 2011 envision specific rules flowing ...
Industry comments responding to the SEC's proposed whistleblower rule center on whether the agency should mandate reporting first through the firm's compliance program (IA Watch, ...
Are you one of those people who doesn't quite feel alive until you've had that first cup of coffee in the morning? Traders can be ...
Sometimes you have to go back to move forward.While many firms employ state of the art software to assist with e-mail reviews, a general counsel ...
IA Watch makes available our 2011 Compliance Calendar to our subscribers. Download it to your current calendar application. And it's easy to do, simply follow ...
This is the SEC's extension of the principal trading rule. This rule would sunset in 2013.
No-Action Letter: Nuveen Asset Management, Inc., et al. (December 30, 2010) Investment Company Act of 1940 — Rule 17d-1 Nuveen Asset Management, Inc., et al. ...
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