Carl Ayers
We are adopting technical amendments to conform several rules and forms to amendments made to the Securities Act of 1933 (‘‘Securities Act’’) and the Securities ...
The results are in for IA Watch’s latest flash survey of subscribers. We took at peek at longevity on the job and found that most ...
The loud pounding upon the door of the fashionable suburban house north of New York City began about 5 a.m., startling the occupants – including ...
Come next February, broker-dealers will have a few more tools in their arsenal to protect their senior customers from financial exploitation. The SEC March 30 ...
Dawn Bennett may have chosen to ignore the SEC’s ALJ setting and the Commission but that didn’t stop the two current Commissioners from kicking her ...
Stray from your valuation P&Ps and you up your risks of regulatory trouble. Same goes if you routinely fail to use the valuations supplied by ...
Senators are going back to the well once more in a bid to increase the SEC’s enforcement penalties and further crack down on recidivist activity. ...
This document extends for 60 days the applicability date of the final regulation, published on April 8, 2016, defining who is a “fiduciary” under the ...