They're not done yet, but they're getting close.The House Financial Services Committee will meet this week to vote on H.R. 3817, known as the Investor ...
Last week a Canadian attorney apparently committed suicide rather than face insider trading charges. The SEC also barred a former Goldman Sachs rep for feeding ...
NASAA reminds that Nov. 14th is the deadline to complete six new disclosure questions added this year to Form U4 if you haven't done ...
When your business takes a new turn, use it to spark a new item to bulk up your annual review. For instance, if there's a ...
A top Democrat in the House is promising to submit legislation that would require the SEC to mandate that brokers daily publish the identities of ...
Your peers have spoken often of how a recent SEC document request letter has helped them to perform well during an exam, so we have ...
In a sign of things to come, Charles Schwab has eliminated mailing paper and CD statements to investment advisers. Instead, the company refers clients to ...
When Victoria Hogan served as an SEC examiner, she always took away a good impression of a firm's due diligence efforts when it could produce ...
This could be the story of the year for compliance staff to clip and show their bosses. The SEC last week began a failure to ...
Perhaps it was the summer time but fails to deliver securities fell 25% compared with the second quarter of 2009, according to an IA Watch ...