Many firms should be happy with the responses from the SEC in the agency's latest release this month of nine new or revised SEC FAQs ...

In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...

House-Senate conferees will meet next month to hammer out differences between their respective financial regulatory reform bills with key issues affecting investment advisers being among ...

The May 31, 2010 issue of IA Week Online.

Proposal would impose hurdles for PE firms marketing funds in Europe

A copy of the 2001 e-mail at the center of the alleged Pequot insider trading case.

Click here to open a Word file that is an example of an N1–A form. A peer has its subadvisers complete this form so it ...

As the Senate moved closer toward a final version of financial regulatory reform, one Commissioner says the SEC could act on its own to bring ...

The SEC is giving the industry 10 days to comment on a proposed rule that would pause trading in an individual stock if its price ...

Last Thursday the Senate passed historic financial reform legislation by a bipartisan vote of 59-39 (see how your Senators voted) without an amendment broadening a ...