With all you have on your plate, you could be excused for missing a new FINRA rule that doesn't affect advisory firms directly. It's FINRA ...

It's being called the "largest hedge fund insider trading scheme in history" and the once "high-flying billionaire and hedge fund manager" Raj Rajaratnam faces the ...

Years after the Reserve Fund broke a buck, regulators continue to struggle for solutions to prevent a possible run on a supposedly stable money market ...

The May 16, 2011 issue of IA Week Online.

Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance—based fees. A new proposed rule issued ...

This is an SEC proposal in May 2011 to adjust the monetary thresholds when charging a client performance fees.

Remarks Before the Money Market Funds and Systemic Risk Roundtable (Chairman Mary L. Schapiro; May 10, 2011) Speech by SEC Chairman: Remarks Before the Money ...

IA Watch has learned that the Division of Investment Management has formally asked the Commission to move the deadline to next year for mid-sized firms ...

Who would have guessed we'd know OsamaBin Laden's hiding spot before discovering whether New York examines IAs? States had until last week to reveal to ...

There may be times when someone employed by an adviser's affiliate could be considered a covered associate under the SEC's pay-to-play rule but generally ...