Carl Ayers
Get ready for new restrictions on political contributions – and the possibility they could be implemented by the November election. At long last, FINRA is ...
This is a sample guide to comply with the Department of Labor's 408(b)-2 rule. This is simply a better designed version of a sample guide ...
A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.
A small investment adviser based in Ohio is paying the price for not giving compliance its due. Everhart Financial Group ($250M in AUM) in ...
Exchange-traded funds, a continuation of the ReTIRE initiative, the suitability of variable annuities and private placements under Reg D are among the new priorities OCIE ...
Karen Barr took over the Investment Adviser Association as president/CEO in November 2014 (IA Watch, Sept. 25, 2014). According to the association’s latest IRS-990 filing, ...
This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
All of that attention in recent years from OCIE on the issue of distribution-in-guise payments by mutual funds has resulted in new guidance from the ...