Securities Law Prof Blog: SEC Approves One-Year Extension for SOX 404(b) Compliance for Smaller Public Companies The SEC announced that it has approved a one-year extension of the compliance date for smaller public companies to meet the Section 404(b) auditor attestation requirement of the Sarbanes-Oxley Act.

FBI Mortgage-Fraud Probe Is Looking at Big Firms - WSJ.com Authorities are investigating some "relatively large corporations" as part of a sweeping mortgage-fraud probe, Federal Bureau of Investigation Director Robert Mueller said.

Jim Hamilton’s World of Securities Regulation
SEC Plans Historic and Profound Changes to Form ADV

Form ADV is the primary disclosure document that investment advisers provide to clients and prospective clients. It contains information about the adviser’s business, backgrounds of advisory personnel, disciplinary information and conflicts of interest.