Carl Ayers
Roll the dice and hope for no snake eyes. That’s what it can seem like when facing an OCIE exam these days. Your peers report ...
Even as the Labor Department takes an initial step that could revise its fiduciary duty rule, the first phase of the rule takes effect. ...
Marc Broidy awaits his fate – whether he’ll pull prison time for his investment adviser fraud – but he’s settled his case with the SEC ...
Four years after the U.S. Supreme Court limited the SEC to bringing legal actions within five years of any alleged misbehavior, the High Court has ...
Ten days after new Labor Department Secretary Alex Acosta encouraged the SEC to enter the fray over a uniform fiduciary duty standard for investment advisers ...
Given the June 9 start date of the Labor Department’s fiduciary duty rule (IA Watch, May 23, 2017), here’s a sample of what your peers ...
If you don’t run the numbers in helping to ensure fair trading allocations, know OCIE will. A new cherry-picking enforcement action again stresses that your ...
The “Ask FINRA Senior Staff” panel concluded the SRO’s annual conference again this year, giving firms the rare opportunity to put the regulator in the ...
The CFTC’s new final rule on recordkeeping (CPO/CTA Watch, May 25, 2017) appeared in the Federal Register May 30. It announces that the rule will ...