Carl Ayers
The road appears to be ending for an ERISA lawsuit that claimed Fidelity violated its fiduciary status by using float income created through plan transactions ...
This flow chart, designed by Brent Nicks, CCO at Wunderlich Securities in Memphis, is designed to help arrive at the proper exemption under the DOL's ...
New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is ...
FINRA has no qualms about aggressively prosecuting AML cases involving the microcap business. That message was delivered by the SRO’s enforcement executive VP Brad Bennett ...
Small can be beautiful but things can get ugly when it comes to finding all the resources you need to do your job. Compliance officials ...
What are the priorities for FINRA’s market regulation department? Where will its vaunted surveillance group turn up next? What should you expect from its new ...
The foresight inherent in decreeing that investment advisers have written business continuity and transition plans could be seen as quickly as a look to the ...
The SEC has long trained its sights on wrap fee programs (IA Watch, Aug. 4, 2014). The latest example of its interest can be seen ...
Regulations as extensive and complex as the Department of Labor’s fiduciary duty rule are likely to have a few words out of place. Two new ...