Carl Ayers
This joint CFTC/SEC final rule shifts the compliance deadline for new Form PF amendments from June 12 to Oct. 1, 2025
Just when you thought the concept of harmonizing investment adviser and broker-dealer rules has become an anachronism, the idea took a small step toward reality ...
You can read it as another sign that the SEC stands poised to revise its view of retail investors being permitted to invest in private ...
An industry trade group has urged the SEC to get behind a 'public-private partnership' to urge anonymous submissions of known cyberattacks to alert the industry ...
Predictions greeted the new administration, forecasting that some proposals would surely be withdrawn but the 14 coming at the same time must surprise even the ...
This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers
It appears the FINMA capitulated, agreeing to allow the Commission examiners access to firms’ 'books and records, including personal data,' as well as to 'conduct ...
Recommendations around mandatory arbitration clauses in advisory contracts, data show rising CCO salaries, public-private partnership proposed to combat cyber crimes directed at financial services and ...
"I have directed the staff to undertake a comprehensive review of Form PF. I have serious concerns whether the government’s use of this data justifies ...
"I suspect that we will continue to accommodate requests to extend this compliance date until we have significantly revised or undone this rule"