SEC Mulls Adding SMA Info to Form ADV
The regulator may also be considering asking about leverage, securities lending and other factors to better gauge risk, IAA says.
Second Round of Cyber Exams Coming in Summer: SEC’s Jarcho
SEC will also resume exams of alternative mutual funds, looking at 30 to 40 funds across 25 to 30 sponsors.
GOP Reps Demand Proof DOL Didn’t Go It Alone on Fiduciary
Lawmakers tell Secretary Perez to hand over SEC correspondence, but advocates say Congress’ efforts to stall the fiduciary redraft are futile.
Advisor Exam Changes Afoot: IAA’s Chief Lobbyist
IAA's Neil Simon says exam changes are coming for the same reason the DOL fiduciary rule won't languish at OMB: the political pressure is on.
Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
Keith Hall Named New CBO Director, Replacing Elmendorf
Keith Hall, chief economist of the International Trade Commission, will start his four-year term on April 1.
Finding Your Client’s Place on the Efficient Frontier
Modern Portfolio Theory plays a role in academic finance, but for Dave Basten of API Funds, MPT plays a unique role in investment practice.
Top 10 Most Generous U.S. Donors: 2015
Tech world philanthropists star on The Chronicle of Philanthropy’s yearly list, representing nearly half the total amount donated.
IAA Names Grohowski General Counsel
He will replace IAA's longtime general counsel, Karen Barr, who became the association’s new president and CEO in November.
Raymond James Nabs $2.6M Ex-RBC Team
In addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.