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. ...
This is the California law, which took effect January 1, 2011, that declares placement agents and some firms as lobbyists in an effort to reduce ...
Consider it a holiday gift from the SEC. The agency Tuesday agreed to a SIFMA request to extend by four months the deadline for investment ...
The SEC's 2010 release adjusting fees for IARD filings.