Carl Ayers
With visions of boosting its analytics, monitoring of derivatives and exams, the CFTC has submitted a budget request to Congress that seeks an increase of ...
The following FAQs provide additional information on the transition period from June 9, 2017 to January 1, 2018.1 This guidance, like the Fiduciary Rule and ...
The Commodity Futures Trading Commission (the “Commission”) is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions ...
The Commodity Futures Trading Commission (“Commission”) is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes ...
Nine months after the SEC charged Leon Cooperman and his New York-based RIA Omega Advisors ($6.1B in AUM) with insider trading and beneficial ownership reporting ...
You hear it so much it can be easy to dismiss it as hyperbole: an enforcement action comes with reputational harm. That appears to ...
Despite uncertainty about whether the Labor Department’s fiduciary duty rule will live or die –especially after its delay (IA Watch, April 13, 2017) – there’s ...
You can often hear Jeff Kleintop sharing his market analysis on CNBC and Fox Business News. In a presentation May 17, the Schwab senior VP ...
It may be a good thing that Brian Quintenz shut down his CPO late last year and withdrew its NFA membership. President Trump has nominated ...