Heather Ayers
You have until July 9 to share your thoughts on how the Commission can identify "regulations, guidance documents, orders, no-action letters, and other items that ...
Lessons from an expensive cherry picking case, the SEC's looking for signs of distress in the industry, examiner tips from a PEI conference and much ...
The recent request from the CFTC to hear feedback on its efforts to modernize its weekly Commitments of Traders Reports (COT) lured a resounding message: ...
SEC regulators are looking for distress signals, one of the Commission’s top private fund examiners said
A former CIO may be heading to jail as his former employer digs deep into its pockets to pay the SEC $100 million for a ...
The industry got far outnumbered on this one
Fund managers should be willing to have “open discussions” with their regulators, one of the SEC’s top private fund examiners say
"When regulators fail to provide an optimal framework, market participants do not wait around—they go to where the rules work, and when they do, investors ...
The proposed changes would address the whistleblower claim processing delays as well as improve process transparency— improvements designed to safeguard and enhance the Program’s continued ...
The CFTC proposes rules governing event contract derivatives, often referred to as prediction markets. A final rule could specify the types of event contracts that ...