Carl Ayers
A new final rule from the SEC tweaks two Advisers Act rules to bring them into agreement with Congress’s 2015 FAST Act (IA Watch, March ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting certain amendments to its rules that, respectively, govern registration of intermediaries and relate to the ...
Taking a step to ensure its security-based swaps rules don’t hamper the market, the SEC issued a new final rule declaring that a broker’s research ...
Regulators’ interest in bitcoin and other virtual currencies just took another big step. The National Futures Association now requires CPOs and CTAs to “immediately ...
We are adopting amendments to the rule that defines a venture capital fund (rule 203(l)-1) and the rule that implements the private fund adviser exemption ...
We are adopting a rule under the Securities Act of 1933 (“Securities Act”) to provide that certain communications involving security-based swaps will not be deemed ...
Call it the holiday gift that keeps on giving. Late last month the President signed the most sweeping tax reform legislation in 30 years. Many ...
It would be fair to declare John Rogicki as a CCO who went bad. The former compliance officer at Train, Babcock Advisors ($434M in AUM) ...
Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring fees after ending ...