Carl Ayers
When the CFTC announced last month the 49 enforcement actions and the $413 million in sanctions issued in the year that ended in September, it ...
The Commodity Futures Trading Commission (CFTC or Commission) is correcting a final rule published in the Federal Register on January 6, 2016. The rule, concerning ...
This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exemption ...
Wednesday's Federal Register will contain a formal order from the Labor Department delaying until July 2019 key elements of its controversial fiduciary duty rule. This ...
It’s the gift that keeps on giving: the challenge of mastering the SEC’s custody rule. The puzzle takes a new turn with Form ADV season ...
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on ...
FinTech innovations, it is often said, have the potential to transform key parts of the securities industry. While healthy skepticism still seems warranted, there are ...
Why should CCOs at SEFs be left out of all the fun? The CFTC, in a new no-action letter, grants SEF CCOs an additional ...