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 ...
If you have difficulty sorting an open-end exchange-traded fund from its closed-end cousin, imagine what your access persons must think.The SEC has determined that ETFs ...
An attorney for the SEC's Enforcement Division in Fort Worth, Texas, is scheduled to go to court Aug. 24 to face charges of misdemeanor assault ...
Two months after the SEC closed the comment period on its two proposals for addressing short selling the agency has thrown a new third option ...
Most advisory firms won't be troubled by FAS 157, the mark-to-market standard that has been so much in the news of late. The issue jumps ...
The investors reside in Taiwan. The accused sits in England. The prosecutor labors from Boston.For two years, Glenn Manterfield of the U.K., has been dodging ...
All things must end. So it is with the downward trend in fails-to-deliver shares, according to IA Week's analysis of new SEC data. Fails in ...
A broker-dealer registered rep hired by the Stanford companies in 2000 told a Senate committee last week she reached out to the SEC in 2004 ...
Dechert LLP: No-Action letter dated August 24, 2009 Investment Company Act of 1940 — Section 12(d)(1) Dechert LLP August 24, 2009 RESPONSE OF THE OFFICE ...
The Treasury Department has decided to accept more comments related to its FBAR form (Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts), ...