Carl Ayers
A career as a Wall Street lawyer creates many relationships. The heat in an otherwise lukewarm Senate Banking Committee hearing on SEC Chairman nominee Jay ...
You wouldn’t be alone if you felt this month’s “information update” from the SEC’s Division of Investment Management on use of the so-called Unibanco letters ...
Take in one more sign that there’s a new sheriff in town. A new decision by an SEC ALJ bars an adviser who has spent ...
Its prospects never looked good, given the same judge that denied the plaintiffs’ lawsuit challenging the Labor Department’s fiduciary duty rule would also rule on ...
Comments about the CFTC’s proposed recordkeeping rule should provide a test of the new Trump Administration’s regulatory philosophy (CPO/CTA Watch, Jan. 18, 2017). The industry’s ...
FINRA calls it its “Engagement Initiative.” But think of it this way: a chance to influence the agenda of the SRO’s new top leadership. ...
The invitation is out for you to reserve your spot at one of four upcoming compliance meetings that the SEC will stage this spring. ...
Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approved an amendment ...