Heather Ayers
"Since I rejoined the Commission last year, we have brought enforcement actions to address offering frauds, insider trading, accounting and financial frauds, and breaches of fiduciary duty ...
The man's application to register his RIA is under consideration despite legal documents that paint a picture of someone who has had difficulty following rules
On the very same page that the SEC Inspector General in his latest report to Congress writes that whistleblowers 'are an essential source of information,' ...
The retail movement is worldwide. For example, Saudi Arabia and the United Arab Emirates 'have enabled fractional ownership structures for real estate and private credit, creating new ...
The SEC is turning to the public for help regulating AI
Private fund managers aren’t just at risk for litigation. In the decade-and-a-half since the Great Recession, private fund managers have often become the risk for ...
"These steps will help to ensure that America’s capital markets remain open, dynamic, and, above all, worthy of the trust that investors place in them, ...
The SEC welcomes your feedback about how AI can assist financial services, Commission whistleblower protections questioned, a would-be SEC RIA has shown disregard for rules, ...
"The ownership and original counterparties that MSCS faces on such Legacy Swaps also remain the same, and the only change is that MSBNA is the ...
"We want to work with advisers, investment companies, and other market participants to enable new technologies to come online, and to work with you on ...