Carl Ayers
Like holiday songs filling the air once again in December, so, too, does the National Futures Association remind CPOs and CTAs that claim exemptions from ...
Two new amended applications for exemptive relief under the SEC’s pay-to-play rule suggest the agency wants to see more evidence of a robust response by ...
Nobody likes the rules covering outside business activities or private securities transactions. FINRA is conducting a review with an eye toward making changes (BD Watch, ...
In a case that could drive whistleblowers away from you and into the arms of the SEC, the Supreme Court heard oral arguments Nov. 28 ...
If you’re a U.S-based adviser who does or hopes to do any business in the EU, know that Europe’s coming regulation Markets in Financial Instruments ...
Five years after the SEC charged Ray Lucia over backtested performance claims, his case has sparked the Commission to ratify its five ALJs to “put ...
Laurence Gray and Robert Hubbard fought for years SEC charges that they misled Atlanta public pension fund trustees when they ran their advisory firm, Gray ...
Doing business in Europe in January will require an LEI or legal entity identifier, perhaps even for your clients (see related story). Here’s how you ...