Investment Advisers

Statement on WKSI Waivers Commissioner Daniel M. Gallagher April 29, 2014 In 2005, the Commission adopted a package of new rules referred to as “Securities ...
This month, the SEC's Division of Investment Management granted Invesco Advisers ($422B in AUM) in Atlanta the right to combine universities, hospitals and other 403(b) ...
Mark Davis owes his new CCO job to a three-year dispute his employer, DeWaay Capital Management ($185M in AUM) in Johnston, Iowa, had with the ...
Last week, Charles Schwab & Co. decided to settle its long-running battle against FINRA over whether language in agreements prohibiting customers from joining class-action lawsuits ...
IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One document, ...
A pair of portfolio managers who never had disciplinary histories face fines and industry bars after an SEC ALJ last week found they violated securities ...
You've probably run into this a few times in your day. Marketers who insist they've created a pitchbook for a one person only so, of ...
It may come from another century but that 1998 guidance from the SEC on distribution payments should ring like a new bell for you. OCIE's ...
You may consider a step taken by Dowling & Yahnke Wealth Management ($2.6B in AUM) in San Diego after news broke of this massive internet ...
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