Carl Ayers
Settle a case and examiners expect you to right the ship and implement promised reforms (BD Watch, Dec. 21, 2017). H. Beck is your latest ...
Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing has ...
It’s been two years since the NFA released it cybersecurity rules (CPO/CTA Watch, Feb. 23, 2016). Now the SRO is amending them to, among other ...
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating ...
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, ...