Carl Ayers
This paper examines registered broker-dealers and their activities from 2010-2024, and provides an analysis of the industry, structure of activity of different types of broker-dealers, ...
An RCW exclusive look at a new SEC exam letter targeting a private fund adviser, more talk of retail investors getting into PFs, new data ...
Consider this fair warning: The plaintiff’s bar is actively looking for private fund investors interested in suing their investment advisers—a trend that’s sizzling
More signs appear that SEC examiners may be chastising private fund advisers for having 'hedge clauses' in fund documents and advisory agreements
AI technologies have significant potential to transform society and people’s lives – from commerce and health to transportation and cybersecurity to the environment and our ...
This final rule and policy statement is effective June 20, 2025
The new Commissions moves to end 14 Biden-era rule proposals, Form PF changes delayed again, reasons to watch those 'hedge' clauses and much more
Nash misappropriated $4.6 million in funds from an El Capitan client to purchase a private residence for Nash and then falsified bank documents to hide ...
This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers
This joint CFTC/SEC final rule shifts the compliance deadline for new Form PF amendments from June 12 to Oct. 1, 2025