Carl Ayers
Usually the SEC wants its money within 10-14 days. But a private fund adviser will get up to three years to pay off its enforcement ...
Thinking about hiring a high-risk broker? You may want to think again. Already the top-listed item in its 2017 annual priorities letter, FINRA continues to ...
You’ve had 90 days to get ready for a new rule you’re likely to embrace.  The CFTC’s new recordkeeping rule takes effect Aug. 28, ...
Recently, Commission staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or ...
If the new information update from the SEC’s Division of Investment Management feels like déjà vu, that’s because we reported its essence five weeks ago ...
It’s a reflection of how important the SEC considers cybersecurity that OCIE has now released its fourth risk alert on the topic in three years ...
Just five days before the CFTC’s position limits’ exemption rule was to take effect, the agency responded to industry concerns and announced a two-year delay ...
The threat of a cyber attack is clear (BD Watch, July 27, 2017). Regulators’ expectations? Not so pristine. Both FINRA and the SEC, for example, ...
What’s the likely future for the fiduciary duty rule? Will the SEC cooperate with the Labor Department on a uniform standard? These are among the ...