FINRA's latest version of a proposed change to its outside business activities' rule would effectively require you to supervise reps' OBA.Industry pros say they're worried ...
The SEC seemed to have its case against Ted Urban sealed tight. It didn't look good for theformer general counsel at Ferris Baker Watts in ...
It's perhaps the scariest part of the SEC's new Form ADV, Part 2 rule: the need to create brochure supplements for staff who provide clients ...
The agency is adding to its frequently asked questions around the custody rule. The most significant change is an addition made to a question about ...
The Ibero-America Fund, Inc.: No-Action letter dated September 9, 2010 Securities and Exchange Act of 1934 – Rules 14a-8(c ) and 14a-8(j)(1) The Ibero-America Fund, ...
Section 18(f)(1) generally prohibits a registered open-end investment company or series thereof (“Fund”) from issuing any “senior security.” Section 18(g) of the Investment Company Act ...
Count this as an upcoming SEC requirement put off by the new Dodd-Frank reform law: The agency has released a no-action letter stating it wouldn't ...
You're probably debating the idea now: Should we produce the new narrative brochure in-house or hire an outsider? If you want to outsource the task, ...
It's a situation almost any adviser could find itself in these days when valuations fluctuate or defy easy assessment. Earlier this month the SEC dropped ...
Satisfy the SEC's vision of your job and you're a long way toward success. So let's examine another CCO duty on the list of 24 ...