Contact D.E. Scott & Associates
E-mail
Telephone & Fax
T: (646) 415-8159
F: (646) 390-7868
Mailing Address
D.E. Scott & Associates, LLC
521 Fifth Avenue, Suite 1700
New York, New York 10175
Current News & Events
Department of Labor Imposes New Fiduciary Standards for Broker-Dealers
- Link to DOL final rule release
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
- Link to SEC final rule release (PDF format)
Enforcement Action Against Investment Adviser for Improper Trade Allocations
Enforcement Action Relating to Improperly Calculated Advisory Fees
SEC Charges a BDC with Overvaluing Portfolio Assets
updated 5/2/2016