Carl Ayers
The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrative ...
Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t offer ...
Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal ...
This spring’s release by the SEC of three fiduciary duty-related proposals (IA Watch, April 18, 2018) “encouraged” the agency’s investor advocate because the Commission was ...
In February, Susan Schroeder, EVP of enforcement at FINRA, outlined a series of broad principles that guide her division to identify and crack down on ...
Even as one firm challenges the SEC’s right to enforce Bank Safety Act violations (see related story), the Commission has filed a federal lawsuit in ...
In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed (IA ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (‘‘SRO’’) financial surveillance ...
The Securities and Exchange Commission (“Commission”) is proposing for public comment several amendments to the Commission’s rules implementing its whistleblower program. Section 21F of the ...