2/6/2012
It's taken a year but OCIE has finally finished its national exam manual. But don't look for it to be released publicly until after regional offices get a chance to comment on it (IA Watch, March 21, 2011).That's the word out of the SEC's Compliance Outreach meeting in Washington on Jan. 31. In addi ...
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2/6/2012
If you count your firm among the estimated 3,200 RIAs that must shimmy over to state registration by July, you're advised to find out what your state demands because the documents can vary greatly from the SEC's list.For example, some states want to see your written supervisory procedures. Others de ...
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2/6/2012
The sudden dismissal of the Commission's case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore, surprised even the defendant, came wrapped in mystery as three commissioners recused themselves (including two who had supported the original charges) and disappointed thos ...
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