Carl Ayers
As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy. ...
May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our ...
Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently sought to ...
A new settlement with an adviser first caught up in an OCIE sweep exam launched four years ago looking at wrap fee programs attests to ...
FINRA is proposing to revise the suitability rules to “more effectively address instances of excessive trading in customers’ accounts (BD Watch, July 19, 2018).” Not ...
Here's a portion of an OCIE document request letter dealing with cryptocurrencies.
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date ...
Here's an example of a firm's compliance manual.
Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging ...