Carl Ayers
The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Case law issued over decades defines what fiduciary duty means for investment advisers. But the SEC’s 38-page proposed interpretation would seek to make that standard ...
While the SEC’s proposed Regulation Best Interest runs hundreds of pages, you can score a quicker sense of it from the agency’s two-page summary of ...
Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between investment advisers and ...
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. ...
Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. ...
Only days before the U.S. Supreme Court hears oral arguments in a case brought by an adviser charged with misleading advertisements, another RIA settled its ...