At the Wednesday March 2 Open Meeting, the Securities and
Exchange Commission voted to approve a new rule that would affect incentive compensation
paid to employees of investment advisers and broker-dealers . Commissioners
Casey and Paredes voted against...
Last year, the Securities and Exchange Commission put a new rule in
place restricting an investment adviser's ability to have custody of its
clients' assets. Given that many private fund managers are going to have to
register as investment...
According to a story in Investment
News , the Securities and Exchange Commission began a sweep of
investment advisers' use of social media and social networking last month.
The story has a quote from Doug Flynn, an adviser at
Flynn Zito Capital...