Carl Ayers
With another election nearing, this may be a good time to remind staff of your pay-to-play policies – especially after two more advisers have applied ...
The headline suggested a textbook case of elder financial abuse: Broker makes fraudulent misrepresentations to collect $70,000 in fees from a couple of 90-something clients. ...
With the quarter’s end upon us, the NFA is reminding CPOs and CTAs to answer new questions on its annual questionnaire regarding virtual currencies. ...
FINRA’s periodic retrospective rule review process has yielded a number of significant changes. This time, the SRO has flagged its carrying agreements’ rule (rule 4311) ...
JH Darbie & Co. is in search of a new FINOP. The New York-based broker-dealer settled charges against the firm March 27 for violating the ...
As a reflection of the risks cyber bad guys present, OCIE plans to launch its third cybersecurity sweep exam in four years (IA Watch, June ...
Three years ago, we reported how some OCIE examiners were issuing deficiencies because they interpreted the way Fidelity’s contract was written gave advisers custody – ...
Whistleblowers, the U.S. Supreme Court ruled in February, deserve anti-retaliation protections under Dodd-Frank only when they bring their allegations to the SEC (IA Watch, Feb. ...