This is the Form PF approved by the SEC and the CFTC in 2011 for exempt-reporting, private fund advisers and others to file confidential data ...
The October 31, 2011 issue of IA Week Online.
This is the SEC's decision in 2011 on what to charge exempt-reporting and private fund advisers to report via IARD their Form ADV and Form ...
The latest regulatory requirement for buyout shops appears not to be as onerous as the industry had feared, lawyers who work with private equity firms ...
These are the new procedures as of December 27, 2011 for filing for an exemption from a prohibited transaction under ERISA.
This is a model disclosure form from the Department of Labor related to its 2011 final rule on investment advice to 401(k) and IRA participants.
This is a 2011 study commissioned by TD Ameritrade and conducted by Georgetown University business professor James Angel on IA regulation and the SRO issue.
Securities Act of 1933 — Rule 482 Department of Labor October 26, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
SEC Speech: Statement at Open Meeting to Adopt Form PF, by Commissioner Troy A. Paredes, on October 26, 2011 Speech by SEC Commissioner: Statement at ...
“Obtaining Reliable Information Regarding Private Fund Advisers” Speech by SEC Commissioner: “Obtaining Reliable Information Regarding Private Fund Advisers” by Commissioner Luis A. Aguilar SEC Open ...