Carl Ayers
Compare the Advisers Act’s books and records rule against the CFTC’s rule and you’ll notice many similarities. Both require that you maintain records from the ...
The CFTC is giving you more time to tell it what you think of its recent proposal to give CPOs an extra 30 days to ...
This time of year usually produces the SEC’s report on how it uses your Form PF data. It’s little surprise that much of the agency’s ...
A new final rule from the Commission amends Exchange Act rule 13n-4 (duties and core principles of security-based swap data repository) to clarify that security-based ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations to enhance the process for reviewing whistleblower claims and to make ...
Investment advisers have never served more clients (36 million) nor managed more assets ($66.8 trillion), and the industry displays strong jobs growth spanning small to ...
The CFTC is extending its comment period on its proposed annual report rule change by two weeks to Sept. 20, 2016.
The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including ...
Pursuant to section 763(i) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities ...