Like father, like son. The SECalleges a former Goldman Sachs employee engaged in insider trading by passing on information to his father on coming ETF ...
This could be one lottery you wouldn't want to win. Staffers within the SEC's Office of Investment Adviser Regulation have been instructed to "read a ...
The September 26, 2011 issue of IA Week Online.
This new rule establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures ...
This is an SEC exam roadmap for RIAs prepared by Linda Shirkey of The Advisor’s Resource in Houston.
This is the CFTC's large trader reporting rule from 2011. It affects physical commodity swaps.
Last week the Municipal Securities Rulemaking Board (MSRB) announced it was delaying its proposals related to municipal advisors until the SEC finalizes its new municipal ...
You may want to advise your clients to be on the lookout for too-good-to-be-true scams masquerading as legitimate investments on social media sites. NASAA has ...
John Walsh, OCIE's long-time chief counsel announced last week that he will leave the agency after 23 years. This is expected to be his last ...
If your firm sells private funds in Europe or acts as a subadviser to funds there, you'll want to know that the European Securities and ...