Carl Ayers
Examiners can be expected to inquire if compliance staff are “appropriately compensated.” “We’re looking to see if compliance has reasonable resources,” said the SEC official. ...
Many experts recommend firms adopt the framework to better protect their networks
A new guide to help with the transition to SOFR
Wedbush’s WSPs provided that, if any of the above warning signs appears, a registered representative should bring it to the attention of the Wedbush Sales ...
"In March 2020, growing concerns about the COVID-19 pandemic led many investors to move their assets from certain money market funds into cash and short-term ...
"Commissioner Stein (and others) expressed concern at that time about the use of fees and gates in this way, noting that the possibility of a ...
" I am pleased that we are including swing pricing and initiating a discussion, though it is certainly an idea that deserves careful consideration"
"The proposal, if finalized in its current form, likely would continue the trend of driving more money into government funds. Doing so may serve the ...
"This brings me, however, to a major shortcoming I see in today’s proposal. The comment period is 60 days long, falling over the course of ...
"Today’s proposals would add new conditions to the existing affirmative defense under Rule 10b5-1(c)(1), to help address concerns about potentially abusive practices associated with the ...