Carl Ayers
The words of Ray Lucia once could be heard from coast to coast. He touted the benefits of his Buckets of Money® presentation on a ...
The SEC seeks data through numerous forms. Three that have been around a long time are Forms 3, 4 and 5. They concern ownership of ...
You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much ...
FinCEN’s proposed AML rule for advisers appears in the Sept. 1 Federal Register, running 22 pages (IA Watch, Aug. 27, 2015). You now have until ...
That letter to SEC Enforcement chief Andrew Ceresney from the NSCP last month raising questions about cases targeting compliance officers will result in a D.C. ...
It has been almost five years since FINRA provided guidance on funding and liquidity risk management practices. Given the recent trembling markets, this may be ...
A new ALJ decision that finds fault with a CCO who argued he was just doing his job may well apply more pressure on SEC ...
Anne Plimpton of McDermott Will & Emery gave us permission to share her memo on Exchange Act section 16 filings, including so-called Form 4 and ...
The attorney for The Robare Group ($160M in AUM) argues the SEC Enforcement Division exaggerated claims that his client’s ALJ victory in June could set ...