No-Action Letter: Energy Income and Growth Fund and First Trust Active Dividend Income Fund (July 27, 2010) Securities Act of 1933 – Rule 486(b) Energy ...
This one may have caught a few of you by surprise. The provision of the new financial regulatory reform law that can snag some firms ...
It looks like Mark Lay will spend the next decade behind bars. The former head of the now-defunct RIA MDL Capital Management Inc. in Pittsburgh ...
The newest SECdocument request letter that we share with you at www.iawatch.com hails from OCIE headquarters in Washington. It illustrates the interest examiners are taking ...
In action that has been a decade in the making, SEC commissioners Wednesday voted unanimously to require registered investment advisers to create a narrative, plain-English ...
If your firm serves as fiduciary to an ERISA pension plan, get ready for an onslaught in the next year of disclosures about compensation from ...
Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would spell out ...
The 2,300-page financial regulatory reform bill inked into law last week by President Obama will play out over years, touching the entire industry. We focus ...
No-Action Letter: ASA Limited (July 23, 2010) Investment Company Act of 1940—Section 12(d)(3) ASA Limited July 23, 2010 Your letter dated July 23, 2010 requests ...