Disgraced investment adviser Bernard Madoff pleaded guilty March 12 to 11 felony counts of securities fraud and was sent to jail pending a formal sentencing ...
If a trader produces more than one trade error a week or if a specific client's account suffers multiple trade errors within a few days, ...
Reports from across the country describe a pattern of almost frenetic activity by SEC examiners visiting investment advisory firms in recent weeks. The top issues ...
Justice Department document filed in court March 15, 2009 seeking forfeiture of various property owned by Bernard and Ruth Madoff.
No-Action Letter: Automated Trading Desk Specialists, LLC (March 13, 2009) Investment Advisers Act of 1940 – Rule 206(4)-3 Automated Trading Desk Specialists, LLC March 13, ...
No-Action Letter: E*Trade Capital Markets LLC (March 12, 2009) Investment Advisers Act of 1940 — Section 206(4) and Rule 206(4)-3 E*Trade Capital Markets LLC March ...
No-Action Letter: Kohlberg Capital Corporation (March 12, 2009) Investment Company Act of 1940 – Section 23(b) and 63 Kohlberg Capital Corporation March 12, 2009 RESPONSE ...
No-Action Letter: Investment Company Institute (March 12, 2009) Investment Company Act – Sections 2(a)(3)(A), 2(a)(3)(C), 2(a)(9), 18(a)(2)(C), 18(a)(2)(D) Investment Company Institute March 12, 2009 RESPONSE ...
March 10, 2009 court document from federal prosecutors laying out case against Bernard Madoff.
If you get a call from someone purporting to be an SEC examiner asking for documents for an "emergency" exam, ask for the caller's name, ...