Carl Ayers
It wasn’t the first time that an SEC chairman has reminded the world that only commissioners can make rules, not SEC staffers, but Jay Clayton’s ...
Just when you thought FINRA could not possibly extract more large fines in connection with the Order Audit Trail System more damage is being reported ...
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them. That behavior is highlighted in a ...
We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawals (BD Watch, July ...
Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (“fund”), under the Investment Company Act of 1940 (15 ...
This is the SEC's Form N-Port, including filing instructions.
With this pending Roundtable and other policy considerations in mind, the staff of the Division of Investment Management has recently re-examined the letters that the ...
If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and ...
We’ve told you before about Stephanie Drescher’s $1,000 contribution to the presidential campaign of Ohio Governor John Kasich (IA Watch, March 29, 2018). Now an ...