Here's what you should know.
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.
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.