Carl Ayers
This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Company Reporting Modernization, which ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing amendments to regulations relating to the trade execution requirement under the Commodity Exchange Act (‘‘CEA’’ ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual privacy notices to customers. The ...
It’s not often that a regulator gives you an opportunity to amend a long-passed rule but that’s what the SEC is doing. In a new ...
Steven Zoernack’s first conviction for a financial crime came in 1999. His second followed eight years later when he pleaded guilty to ripping off investors, ...
Executives at the Atlanta advisory firm Timbervest vowed to fight on after a 2015 unanimous decision by SEC commissioners found they had cheated a client ...
Prosecutors say James Polese “lived a very affluent life on a generous salary and bonus structure for many years” yet he “chose to cheat and ...
In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed ...
Allowing customers to work with third-party investment advisers can make sense under the right circumstances. The practice can be a kind of customer service in ...
The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’s ...