Carl Ayers
The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as ...
The SEC has removed the “acting” from Peter Driscoll’s job title and elevated him to OCIE director. He had been named as acting director in ...
SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s coming MiFID II ...
The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...
Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the ...
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...
FINRA encourages firms to use new powers to hold up disbursements that seem exploitative to senior customers. But “savvy bad guys” are finding a new ...
As expected, the CFTC has ordered that its planned drop in the threshold that would trigger the need for a swaps dealer to register with ...
A glimpse into the challenges firms have in navigating international swaps deals can be seen in the latest release by the CFTC. It also shows ...