Carl Ayers
"The Agenda makes plenty of room for rulemakings to undo rulemakings that the Commission only recently completed"
EXAMS contacted NLCA’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. NLCA, ...
Respondent’s employer then raised approximately $1.5 million in additional funds through sales of securities issued by PIV2 to both existing security holders and new investors, ...
"Analyzing a multi-hundred page rulemaking in the context of intricate markets and an already complicated set of securities and other relevant laws is not an ...
More tips and guidance to comply with DOL rollover exemption, SEC examiners to be examined, lessons from a financial crash and much more
The SPAC target IPO is akin to a traditional IPO. Thus, investors deserve the protections they receive from traditional IPOs, with respect to information asymmetries, ...
"I wouldn’t be surprised if there weren’t some litigation that comes out of it if DOL tries to get involved in the IRA space. I ...
Call it an audit of the auditors. The SEC’s Office of Inspector General is probing how the Division of Exams looks at investment advisers
The proposed shift addresses the current impact of Exchange Act rule 15c3-1 (net capital rule) on settlement timing, particularly on smaller firms
A failure to provide the annual affirmation can result in the exemption being withdrawn