BAC Home Loans Servicing, LP (formerly Countrywide Home Loans Servicing LP) Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 BAC Home Loans ...

A peer shares examples of how the firm encourages staff to report possible violations to the CCO through its compliance manual and code of ethics.

This is a Suspicious Activity Report or a SAR, a document advisers may wish to file with the government to alert it of possible money ...

This is a copy of the FBAR, the Report of Foreign Bank and Financial Accounts, a Treasury document that some advisers may have to file ...

This is an SEC proposed rule from June 2011 that would punish felons and so-called “bad actors” by disqualifying them from rule 506 offerings. This ...

SEC Chairman Mary Schapiro has until June 7 to respond to a letter sent last week by Sen. Charles Grassley (R-Iowa) looking into how the ...

All this talk that the SEC will delay the deadline for private fund advisers to register with the Commission (IA Watch, May 23, 2011) leads ...

Q&A from the California Fair Political Practices Commission, which interprets and enforces that state's new law requiring certain RIA placement agents to register as lobbyists ...

FINRA CEO Richard Ketchum said he would be "surprised" to see the SEC issue a proposed rule on a uniform fiduciary standard for broker-dealers and ...

Fallout from the global financial crisis continues overseas as well. Last week the European Commission was expected to grant final approval for its Directive on ...