Carl Ayers
Here's a recap of the SEC's risk alert on e-communications
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the Commission’s ...
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not to ...
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly. IA Watch agreed ...
OCIE has made no secret of its interest in undisclosed compensation and failures to seek best execution. So the $598,000 in fines assessed against Landaas ...
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s ...
If your CPO firm is dually-registered with the CFTC and the SEC, the new “guidance” from the National Futures Association will seem like old hat. ...
The Senate is being asked to confirm Heath Tarbert to be the next CFTC chairman after current Chairman J. Christopher Giancarlo’s term expires next year. ...
In an effort “to understand similarities and distinctions between certain virtual currencies, including here Ether and Bitcoin,” the CFTC has issued a request for comment ...
Thinking about hiring a FINRA employee? You might want to think again. The SRO is tightening conflict of interest rules for ex-officers and other ...