Carl Ayers
This chart was published in a GAO report from late 2016. It reveals the organizational chart at the Securities and Exchange Commission.
More evidence that OCIE’s wrap fee program sweep has produced results (IA Watch, Aug. 4, 2014). The dual-registrant Citigroup Global Markets settled charges of compliance ...
Acing a test. Winning a game. Picking a great stock. Who’s beyond a little boasting when one succeeds? As tempting as this can ...
It’s going on three years since the SEC’s Enforcement Division filed charges claiming The Robare Group ($160M in AUM) in Houston failed to disclose revenue-sharing ...
Mere hours passed after President Trump was sworn in as the 45th President before he issued a memo to agency heads. The brief memo instructed ...
Should you rely on a vendor to keep required records, don’t assume the documents will be there when you need them. That’s one lesson ...
Stefan Lumiere will learn his fate in May – when he will be sentenced for securities fraud that could keep him behind bars for decades. ...
Say, your Form PF deadline has arrived yet your fund’s auditor hasn’t completed its work. What should you do? Place “estimated values” for the ...
FINRA has issued a new report assessing the potential operational and regulatory impact of blockchain technology. The report provides a basic overview of blockchain technology ...