Carl Ayers
A former Deutsche Bank Securities senior equity research analyst was charged Feb. 17 by the SEC for violating Regulation AC—the analyst certification requirement. The Commission ...
In the latest CFTC no-action letter to grant relief from planned rules changes that the Commission hasn’t gotten around to making yet, the agency advised ...
The staff of the U.S. Securities and Exchange Commission’s Risk and Examinations Office of the Division of Investment Management is reviewing how firms that are ...
Cross off another of the Dodd-Frank mandated responsibilities for SEC commissioners. The three sitting commissioners Feb. 10 unanimously approved a final rule that provides guidance ...
OCIE’s 2016 exam priorities promised examiners would continue their ReTIRE initiative, which began last June (IA Watch, June 25, 2015). IA Watch has obtained an ...
Jotting down a note helps ensure you return from the grocery store with all the items you need so it’s likely to work for the ...
The troubles for John Verble, a rep at Morgan Stanley’s office in Knoxville, Tenn., began when a colleague spotted him “getting into a black sedan ...
Regulators on both sides of the Atlantic appear to be playing nice. Last week’s announcement that the CFTC’s and the EU’s top regulators have agreed ...
A memorandum of understanding has been signed by the CFTC and German regulators that pledges both sides to cooperate in overseeing clearing organizations operating in ...
We recently told you about former RIA owner Nick Rowe, who filed for bankruptcy while waging a multi-year battle to contest SEC fraud charges (IA ...