If you were keeping score during last week's House hearing (IA Watch, Sept. 12, 2011), those testifying for an SRO for advisers outnumbered opponents 5-2. ...

SEC Speech: Statement at Open Meeting: Prohibiting Firms from Designing Transactions to Fail, by Commissioner Luis A. Aguilar, on September 19, 2011 Speech by SEC ...

SEC Speech: Statement at Open Meeting to Propose Rule Amendments to Prohibit Conflicts of Interest in Certain Securitizations, by Commissioner Troy A. Paredes, on September ...

SEC Speech: Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations, by Chairman Mary Schapiro, on September 19, 2011 Speech ...

The September 19, 2011 issue of IA Week Online.

It may turn out to be a lost decade for former venture capitalist Matthew Crisp, who faces Securities and Exchange Commission charges of exploiting conflicts ...

Some professionals in private equity fighting to repeal a rule in the Dodd-Frank financial reform law calling for most firms to register with the Securities ...

SEC Speech: Statement of Commissioner Aguilar Regarding the Urgent Need to Re‑establish the Investor Advisory Committee, on September 13, 2011 Speech by SEC Commissioner: Statement ...

This is a no-action letter released by the SEC in September 2011 that gives investment companies relief from the agency's pay-to-play rule's requirements that advisers ...

A peer shares the firm's custody checklist, which is in an Excel file format. This tool can be used to quiz dual registrants and RIAs ...