A copy of the SEC's document request letter from its January 2009 exam.
Deutsche Bank Securities Inc.: No-Action letter dated June 9, 2009 Investment Advisers Act of 1940 — Section 206(4) Deutsche Bank Securities Inc. June 9, 2009 ...
Examples of a quarterly report of personal securities transactions and a personal trading quarterly report form courtesy of Robert Lavigne at GW & WADE in ...
The aftermath of the burgeoning scandal around New York's largest pension fund (IA Week, May 4, 2009) appears to be driving the SEC next month ...
A new report from the Government Accountability Office finds the SEC's Reg SHO had at least a temporary effect to reduce the number of securities ...
The latest innovation being introduced by SEC Chairman Mary Schapiro is the creation of a 15-member committee - including representatives from at least four RIAs ...
A federal judge ruled against the SEC last month in a four year-old insider trading case when the agency failed to show the tipper benefited ...
A bill proposed by a Republican in a Congress dominated by Democrats may not stand much of a chance but you may wish to know ...
In what began as a routine SEC exam in September 2008 has ended with fraud charges against a California investment advisory firm and its principal ...
For years, mostly institutional investors would issue their RFPs to advisers with that one line that would disarm: "Please include a copy of your most ...