2/8/2010
This year may pose a few additional hassles for firms with a fiscal year that matches the calendar as they prepare to file their Form ADV update. For one, IARD filing fees are back (IA Watch, Dec. 11, 2009). And if your firm deals with unregistered securities, it may well be simultaneously readying ...
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2/8/2010
Peel back the glossy cover of the President's FY 2011 budget and you'll find evidence that the Administration wants more money for the SEC to tackle the challenges exposed in the last two years. Among the targets for more resources: the Office of Compliance Inspections and Examinations."OCIE plans t ...
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2/8/2010
The institution survived the Great Depression but couldn't overcome a deceptive rep who killed himself as authorities closed in on him. Now the whole sordid affair has led to a lawsuit against the RIA that employed the dead adviser on claims of failure to supervise and negligence.The New London (Con ...
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