Heather Ayers
In yet another sign of growing regulator interest in the murky world of digital currencies, the CFTC requests comments on how it may interpret “actual ...
Marc Broidy, 43, may have grown up in luxury in Beverly Hills, Calif., but he’s going to have to get used to lesser accommodations after ...
Enforcement actions have the benefit of giving you a road map on how to address supervisory and other problems perceived by your regulator. But failing ...
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain in their records ...
FINRA appears intent on strictly enforcing OBA/PST rules even as it has targeted the regime for a retroactive review (BD Watch, 12/7/2017). Here are some ...
Staff at the SEC expect to be working through the holidays on a fiduciary duty standard for both investment advisers and broker-dealers, signaling that you ...
Sometimes change is good. Take the SEC’s decision to create Schedule R so that a lone adviser need complete only one Form ADV despite hosting ...
Her heart must have skipped a beat when the client, a woman in in her 60s who worked part-time as a medical assistant, called Schwab ...
The impending introduction of MiFID II continues to reverberate on this side of the Atlantic (IA Watch, Nov. 30, 2017). Â The latest example comes ...