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.
You have until Feb. 22 to comment on the latest SEC Dodd-Frank rule, a proposal to create “a permanent registration regime with the Commission for ...
This month some advisory firms are getting a surprise visit and chances are it's not a jolly old man in a big red suit. Accountants ...
You have a few months before the SEC's pay-to-play rule kicks in (IA Watch, Dec. 13, 2010), which gives you time to put in place ...
The SEC claims attorney Jonathan Bristol not only represented his client, accused swindler Kenneth Starr and his RIA Starr Investment Advisors ($1.2B in AUM) in ...