Sen. Ted Kaufman (D-Del.) believes the SEC has drug its feet on new short selling restrictions so he's upped the ante by calling upon the ...
Here's the scenario. Your firm serves as a sub-adviser on a wrap program's large cap portfolio. The sponsor of the wrap program forbids the use ...
That Massachusetts data security rule you've heard so much about (IA Week, April 20, 2009) has been eased in some ways and the compliance deadline ...
At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insurance policies, ...
When college pitcher Bryan Price signed with the Boston Red Sox last year, he was looking for a place to park his $200,000 signing bonus. ...
You'd be excused for thinking compliance officers are attracting the gaze of regulators what with the recent spate of cases charging CCOs (IA Week, July ...
You're not necessarily finished with your firm's Form ADV once you've completed your annual update. There are several items on the form that must be ...
Recently an investment advisory firm received a stern deficiency letter following an SEC exam for failing to maintain adequate records to back up a portfolio ...
The SEC is encouraging investors to seek out "the advice of an investment professional" if they're interested in leveraged or inverse ETFs. The unusual warning ...
The SEC has expanded the ability of investment advisory firms to rely on a third-party to produce required records in a new no-action letter in ...