Carl Ayers
Some prognosticate that 2016 will be lighter than usual when it comes to new regulations, as Congress and the Administration hunker down prior to the ...
As you might expect cybersecurity occupies a top spot on the priority list for many of your compliance peers in 2016. Dividend Assets Capital ...
2016 Regulatory Calendar for RIAs Predictions abound for the year ahead. While many expect develop-ments – such as a final fiduciary duty rule from the ...
With its proposed rule to heighten disclosures from alternative trading system operators (IA Watch, Nov. 19, 2015), the SEC wants to bring dark pools into ...
FINRA took the first steps towards overhauling its troubled arbitration system with the release of a task force report urging a big pay hike and ...
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is amending Commission Regulation 1.35(a) to: Provide that all records required to be
maintained under this regulation ...
The Commodity Futures Trading Commission is proposing enhanced requirements for a derivatives clearing organization’s testing of its system safeguards, as well
as additional amendments to reorder ...
In the first of a required-Dodd-Frank issued report, SEC staffers suggest the Commission should consider several changes to its definition of an accredited investor, including ...
A peer shares a form that lays out how the firm compares brokers.
FINRA is uncorking a new report card in the New Year aimed at helping broker-dealers identify and prevent manipulative trading activity such as spoofing and ...