Earlier this year we alerted you to a new type of SEC document request letter out of the agency's Chicago Regional Office (IA Watch, Jan. ...
The SEC has revamped how it handles whistleblowers with a centralized and dedicated system for tracking complaints (IA Watch, April 5, 2010). A newly released ...
With the Senate poised to consider financial regulatory reform, two senators - Daniel Akaka (D-Hawaii) and Robert Menendez (D-N.J.) - are ready to count the ...
The newly revised custody rule includes two requirements that went into effect with the rule March 12: (1) Include a legend with statements to clients ...
One week after the SEC charged Wall Street giant Goldman Sachs and one of its vice presidents with fraud in the sale of synthetic collateralized ...
If Madoff cast a harsh light on SEC investment advisory examiners, a new report by the agency's inspector general paints them as heroes in attempting ...
IA Watch has obtained a copy of a 167-page guide to proposed Senate financial regulatory reform. The report was completed last month by the Senate ...
No-Action Letter: xx (date, 2009) Rule 486(b) of the Securities Act of 1933 Tortoise Energy Infrastructure Corporation and Tortoise Energy Capital Corporation April 23, 2010 ...
The Senate Banking Committee's report on The American Financial Stability Act from March 2010.
This is a copy of an SEC document request letter sent in 2010. This is very similar to a new type of document request letter ...