Carl Ayers
A peer shares the firm's policy regarding reporting of Foreign Bank and Financial Accounts. As of this time, investment advisers aren't mandated to report FBARs.
The Securities and Exchange Commission is proposing amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end investment ...
A reflection of how Washington works these days can be seen in the SEC Commission meeting March 14. It marked the first time a full ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to conduct a Transaction Fee Pilot for National Market System (“NMS”) stocks to study the ...
Schwab shares guidance to help advisers navigate new SEC releases on the complex custody rule.
An appeals court has followed the instruction of the U.S. Supreme Court and severely reduced an adviser’s fine for ripping off clients so as to ...
When the SEC changed the face of its custody rule last year, advisers and custodians were forced to act. Among the revisions made by Pershing Adviser ...
The confusing custody rule may seem even more opaque after hearing about the $60,000 fine assessed against Financial Fiduciaries ($141M in AUM) in Wausau, Wis., ...
You may ask what a non-profit group that works to ensure Tennessee walking horses aren’t harmed has to with an investment adviser barred by an ...
At FINRA, fraud is top of mind, judging by the SRO’s 2018 annual priorities letter (BD Watch, Jan. 11, 2018). But that covers a multitude ...