Carl Ayers
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 ...
Accordingly, the Division will not recommend enforcement action to the Commission under Exchange Act Rule 17a-8 if abroker-dealer treats an investment adviser as if it ...
Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was ...
If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a ...
You’re going to love our latest innovation at www.regcompliancewatch.com: the ability to save your searches as a Compliance Alert. This means anytime we publish ...