Carl Ayers
FINRA has been doing a lot more exams of branch offices (IA Watch, June 16, 2016). Here are some tips on how you can survive ...
Using high-tech methods, FINRA in recent years has been tracking reps’ outside business activities – and firms’ supervision of them – with growing sophistication. Are ...
The increased use of central counterparties (CCPs) as regulators the world over have ordered mandatory clearing of swaps and other products now turns attention to ...
It wouldn’t affect a large number of CPOs, but the CFTC has proposed that certain pool operators be able to skip their initial annual audit ...
A new SEC settlement suggests the prudence of compliance monitoring withdrawals when a rep serves as trustee over a client’s account. Rep Gary Oliver ...
Without action from the CFTC, the threshold for swap dealer registration will fall from the current $8 billion level to $3 billion in 2017. A ...
This brochure includes detailed language on step-out or trading away trades from a wrap fee sponsor following an SEC enforcement action.
A peer shares a copy of the firm's exam letter stemming from a 2016 visit by NFA examiners.
Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory ...