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Former Goldman Employee Charged With Insider Trading Before Mergers

The Securities and Exchange Commission today announced insider trading charges against a former Goldman Sachs employee accused of stealing nonpublic information in the firm’s e-mail system so he could trade illegally in adv...

SEC Charges Political Intelligence Firm

The Securities and Exchange Commission today announced that a political intelligence firm agreed to admit wrongdoing and pay a $375,000 penalty for compliance failures. Marwood Group Research LLC also agreed to retain an ...

SEC: Stockbroker Stole Investor Money for Home Renovations

The Securities and Exchange Commission today announced fraud charges against a former stockbroker accused of stealing investor money to remodel his house and pay other bills. The SEC alleges that Bernard M. Parker raised ...

Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule")

Termination of Market-Making Activity: Treatment of Residual Positions; Applicability of the Restrictions in Section 13(f) of the BHC Act

No Action Letter: Investment Company Institute, et al.

Investment Company Institute, et al

Dave Grim Speech: Remarks to the ALI CLE 2015 Conference on Life Insurance Company Products

Remarks to 2015 IAA Compliance Conference by Dave Grim, Acting Director, Division of Investment Management