Carl Ayers
A host of compliance slip-ups and CCO changes feed into this enforcement action
"Recent recordkeeping charges settled by Morgan Stanley Smith Barney speak to how important it is that market participants properly safeguard customer information"
"Assuming those inspiring words did not convince my colleagues to postpone this rulemaking until we undertake a moonshot harmonization project, let me highlight some other ...
"The events of the last week are a reminder of the importance of these resiliency projects for everyday Americans"
Gensler seeks to calm nerves following the failure of the Silicon Valley Bank and others
The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...
Tips include to take a sampling of senior clients and check to see if reps are putting notes in your CRM to document their most ...
RCW sampled early reactions to the proposal
The idea of charging user fees to pay for SEC RIA exams resurfaces
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