Carl Ayers
FINRA arbitrators have been complaining that they’re underpaid, so it plans make member firms pay more for arbitration services. Arbitrators last raise was in 1999. ...
As a service to clients who travel extensively, an advisory firm is weighing offering to receive checks on their behalf and to deposit them into ...
This final rule from 2014 revises "Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities" (ABS). It requires prospectuses ...
IA Watch has obtained a copy of the SEC’s alternative mutual fund sweep letter. As we’ve reported (IA Watch, Aug. 25, 2014), it focuses on ...
The biggest mistake advisers make during an SEC exam is not listening carefully to what examiners are asking, according to Michelle Jacko, managing partner of ...
If you could wave a magic wand and make one change to improve the industry, what would it be? We posed that question to your ...
David Trujillo owes his job to what a security guard spotted in the parking lot of his firm’s office. A competitor sat in a car ...
Arguments are scheduled next week in a federal court case in Washington, D.C. that could negate the SEC’s ability to hold investment advisers to its ...
Amerivest Investment Management ($7.4B in AUM) in Omaha, Neb., has so much confidence in its subadviser, Morningstar Associates ($12.8B in AUM) in Chicago, that it’s ...