When Yogi Berra uttered his famous malaprop he wasn't speaking about the North American Securities Administrators Association's biennial compilation of best practices for advisory firms ...
After the second public meeting in five months to hear from the industry on short selling (IA Watch, April 13, 2009), SEC commissioners face a ...
Weeks after the SEC IG released his exhaustive investigation of the agency's dealings with Bernard L. Madoff Investment Securities (IA Watch, Sept. 14, 2009), David ...
A doubling of the SEC budget over the next six years. Assessing a new annual fee on investment advisory firms to pay for the cost ...
You knew it was coming and on Thursday Rep. Paul Kanjorski (D-Pa.), the chairman of a House Financial Services subcommittee, released draft legislation, including an ...
Sisters of Mercy of the Americas, Inc.: No-Action letter dated October 1, 2009 Investment Company Act of 1940 — Section 7 Investment Advisers Act of ...
Sisters of Mercy of the Americas, Inc.: No-Action letter dated October 1, 2009 Investment Company Act of 1940 — Section 7 Investment Advisers Act of ...
A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...
Out with the old, in with the new. As the Treasury Department's insurance program for money market funds was phased out earlier this month, SEC ...
Turns out reports of the death of Form ADV Part 2 reform are premature, but books and records changes may have to wait, according to ...