Carl Ayers
"we recently heard from the public in response to a request for comment about potential conflicts of interest and digital engagement practices, particularly in the ...
"While Congress and the public evaluate this report, we at the SEC and our sibling agency, the Commodity Futures Trading Commission, will deploy the full ...
"We are concerned that these changes have the potential to undermine the effectiveness of the Title VII regime. It is therefore all the more important ...
"While I do not want to sound like Chicken Little, the falling number of public companies over the last twenty-plus years does cause me some ...
A checklist guides each potential move with a home office supervisor reviewing each one
Say goodbye to the seminal Clover no-action letter from 1986 and scores of other key SEC guidance over the decades related to advertising and marketing ...
The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)
"There should be some framework for reporting cyber-incidents to clients and to the Commission, to the extent the adviser has identified them to be material"
None of the ACH transfers from Welsh’s clients’ and customers’ accounts to the Welsh Family Accounts were authorized by the relevant account owners
A peer shares a copy of a policy for using ESG rating companies