Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings (Commissioner Luis A. Aguilar; May 18, 2011) Speech by SEC Commissioner: Continuing to Improve ...
This final rule codifies relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis.
This is a letter dated April 27, 2011 from SEC Chairman Mary Schapiro to an unidentified recipient. The letter mentions the likelihood of the Commission ...
This is the Form ADV, Part 2 from 2011 for the dually registered firm Gilder Gagnon Howe & Company in New York. It discusses selling ...
You might want to warn your clients of some pump-and-dump schemes floating around that try to exploit publicity over Japan's recent earthquake and nuclear crisis. ...
What are you to do when two rules collide? It happens. Case in point is the SEC's new Form ADV rule and a 1988 no-action ...
A little known provision within the Dodd-Frank reforms is causing advisers to pooled investment vehicles to question whether they'll be able to freely engage in ...
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 ...
What began as two partners with $1,000 in 1997 grew into an RIA managing $7.2 billion 14 years later. But the story of Aletheia Research ...
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 ...