Carl Ayers
As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Investment Adviser Association ...
If anyone knows the tangled regulatory structure of the U.S. government when it comes to financial services, it’s you. A new report from the Treasury ...
Long a source of suspicion and frustration for the industry, FINRA officials are pledging to be more transparent about their enforcement efforts. Officials pulled back ...
President Trump June 12 formally asked the Senate to approve Dawn DeBerry Stump to one of the three open CFTC commissioner spots. Stump has ...
In a scheme that ultimately will take down a hedge fund adviser and led to the suicide of a participant, a former portfolio manager at ...
Here are more than 20 new FAQs released by the SEC's Division of Investment Management in June 2017.
It could be the industry’s version of Family Feud – and it’s only beginning. SEC Chairman Jay Clayton’s call for comments about whether the ...
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. ...