Carl Ayers
Scottsdale Capital Advisors, seeking to head off a disciplinary hearing, asked a federal appeals court to expedite its suit claiming that FINRA lacks authority to ...
As the Department of Labor official responsible for crafting the new fiduciary rules, Timothy Hauser is much listened to. And from the nuances of exemptions to ...
Don’t expect the SEC to “micromanage” your approach to cybersecurity. For example, it’s up to you whether you wish to pay for a penetration test. ...
If you’re a CCO at a large investment adviser or broker-dealer, there’s a very good reason you’ll want to be aware of the government’s latest ...
Brokers, mutual funds, futures commission merchants and commodities introducing brokers have until May 2018 to begin to ask new clients opening accounts who their beneficial ...
FINRA fired another shot across the bow in its on-going battle to protect senior investors. The target this time: pension-income stream products. The SRO ...
Another broker-dealer has been sanctioned for failing to waive mutual fund sales charges for eligible charitable organizations and retirement accounts. But it avoided additional financial ...
It never hurts to hear from your regulator where your peers have fallen short. SEC Enforcement Director Andrew Ceresney pointed to “certain problematic conduct ...