Carl Ayers
Asked whether investment advisers should consider the SEC Enforcement Division’s offer to self-report share class allocation issues in exchange for no penalties, Stephanie Monaco recalls ...
Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Watch, ...
Calling virtual currencies “unlike any commodity that the CFTC has dealt with in the past,” the Commission has ordered designated contract markets, swap execution facilities ...
You’ll have 30 days to comment once the SEC publishes its latest proposed rule in the Federal Register. The new proposal would create two new ...
In an effort not to “disadvantage” parties linked in older swap contracts, the CFTC proposes that these entities should get a pass from having to ...
This is the financial reform bill passed by Congress in 2018.
This corrects a few items in the earlier SEC proposal calling for a Form CRS.
The Commission proposes to amend the definition of “eligible master netting agreement” in the CFTC Margin Rule to ensure that master netting agreements of firms ...
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten ...