Carl Ayers
This final rule is related to the removal of credit rating references in rule 2a–7, the principal rule that governs money market funds, and Form ...
Last Monday, the SEC’s New York Regional Director called cybersecurity “the issue of our time.” The next day, the agency announced its first cybersecurity enforcement ...
You’ll find few cases brought by the SEC against a CCO stemming solely from his compliance role. And there is no trend targeting CCOs, added ...
The U.S. courts will be the next stop for four Timbervest ($1.3B in AUM) executives who have vigorously fought SEC fraud charges as they contest ...
A new 415-page rule proposal gained unanimous support Sept. 22 from SEC commissioners. If finalized, the rulemaking would require advisers with open-end mutual funds and ...
Advisers Act rule 203(l)-1 (venture capital fund defined) describes a “qualifying portfolio company.” The definition fits into the analysis needed to conclude whether a venture ...
This proposal would adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative ...
This proposal would require persons involved in administrative proceedings to submit all documents and other items electronically. The proposed amendments are intended to enhance the ...
This letter went to an adviser within the SEC's Boston Regional Office in September 2015.