Carl Ayers
Between crowdfunding portals and slimmed-down rule books for specialized brokers, FINRA has been easing regulations related to capital-raising. And more may be on the way. ...
A peer provides a copy of the firm's NFA exam letter.
That new guidance from the SEC earlier this year about the custody rule has made its way to OCIE exams (IA Watch, Feb. 23, 2017). ...
It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until FINRA ...
Everyone is bracing for a cyber-attack. But what do you do when the unthinkable happens? Is your incident response team ready to roll? Who do ...
Even as the Labor Department’s proposed 18-month delay in its full fiduciary duty rule rests at the federal Office of Management and Budget, satisfaction and ...
If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year. That’s ...
Usually the SEC wants its money within 10-14 days. But a private fund adviser will get up to three years to pay off its enforcement ...
Thinking about hiring a high-risk broker? You may want to think again. Already the top-listed item in its 2017 annual priorities letter, FINRA continues to ...