Here's what you should know.
8.24.2009
Expanded Form U4 Disclosure - All Forms U4 Must Be Amended
By November 14, 2009, registered investment advisers and broker-dealers must amend all of their representatives' Forms U4 to comply with amendments to Form U4 recently approved by the SEC.
8.30.2007
New SEC Rules Require Internet Availability of Proxy Materials: Update of Notice and Access Model
The Securities and Exchange Commission recently adopted amendments to the proxy rules under the Securities Exchange Act of 1934.