More On Legal & Compliancefrom The Advisor's Professional Library
- Trading Practices and Errors When SEC-registered investment advisors conduct annual audits of firm policies and procedures, they should pay close attention to trading practices. Though usually not required to, state-registered advisors should look at their trading practices and revise policies that do not fully protect clients.
- U.S. Securities and Exchange Commission Information This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Advisers Act. It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.
Officials representing seven of the U.S. Department of Labor’s agencies—including the Employee Benefits Security Administration (EBSA)--will host live Web chats during the week of July 11 to discuss their respective regulatory agendas. These events will be open to the public
DOL’s collective regulatory agenda was made available on July 7 in the Federal Register.
To participate in the Web chats visit http://www.dol.gov/regulations/.
The various agencies’ web chat dates and times are as follows:
Monday, July 11
Office of Labor-Management Standards, 1–2 p.m. EDT
Occupational Safety and Health Administration, 2:30–3:30 p.m. EDT
Tuesday, July 12
Office of Federal Contract Compliance Programs, 1–2 p.m. EDT
Wednesday, July 13
Wage and Hour Division, 1–2 p.m. EDT
Thursday, July 14
Mine Safety and Health Administration, Noon–1 p.m. EDT
Employment and Training Administration, 1:30–2:30 p.m. EDT
Friday, July 15
Employee Benefits Security Administration, 2–3 p.m. EDT