Current News & Events
DE Scott & Associates hosts its annual “Registered Investment Adviser Compliance Training Seminar” on October 6-7, 2008, at the Marriott Marquis Times Square, New York, NY. (Click here for event brochure)
SEC Proposes Guidance to Fund Boards in Overseeing “Soft Dollar” Activities of Fund Advisers
SEC Proposes “Plain English” Version of Part II of Form ADV
SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
SEC Issues Final Rule for Shareholder Choice Regarding Proxy Voting Materials
- Link to SEC final rule release (PDF format)
Proposal for Enhanced Disclosure and New Prospectus Delivery Options
- Link to SEC rule proposal (PDF format)
SEC and Other Financial Services Regulators Propose Standardized Privacy
Statement
- Link to SEC rule proposal (PDF format)