Carl Ayers
If a court case didn’t turn out like the SEC wanted, the Commission took matters into its own hands Aug. 5 by releasing an interpretation ...
We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section ...
A U.S. District Court judge Aug. 3 dismissed an SEC motion to dismiss a challenge to its administrative proceedings process. The decision allows the defendant ...
The resolution of an SEC enforcement case represents only one aspect of the far-reaching consequences of a compliance lapse. Consider the Southern California adviser ...
It’s no secret that microcap securities are in the cross-hairs of regulators (IA Watch, Jan. 12, 2015). Broker-dealers face due diligence obligations under anti-money laundering ...
Avoid falling short when it comes to the new supervision rules. Heed advice from FINRA Midwest Regional Director Ed Wegener. First, tailor your P&Ps to ...
If you’re among those who didn’t know that a defendant who prevails in an SEC enforcement action could seek the government to pay his attorney’s ...
Some private equity advisers offer only one fund. But for those with a more expansive business model, the issue of how to allocate investments among ...
IA Watch has obtained a new SEC document request letter received by an SEC-registered advisory firm based in London, England. The document resembles other ...