Carl Ayers
A need exists to develop “criteria and thresholds” that could trigger joint action by the financial services industry and the government in the event of ...
The SEC again extended the deadline for broker-dealers having to comply with the final phase of the large trader rule, and raised the possibility it ...
Only days after the SEC proposed a rule to shed light on dark pools (IA Watch, Nov. 19, 2015), the CFTC put forth a new ...
Bowing to judicial reality in the wake of the Newman decision (IA Watch, Oct. 15, 2015), the SEC two days before Thanksgiving dismissed its insider ...
Now that the SEC has cleared the way for equity crowdfunding (IA Watch, Oct. 30, 2015), will it be able to keep a level playing ...
Don’t forget FINRA rule 2263. You may end up litigating rather than arbitrating. That’s the lesson from a New Jersey court in an employment dispute ...
The SEC grounded the launch of its Tick Size Pilot for five months following industry complaints about a lack of guidance from regulators and exchanges ...
This is an example of an SEC exam document request letter sent to an investment advisory firm. It asks for many items, including disclosures about ...
This letter comes from an SEC exam launched in 2015 from the SEC's Los Angeles Regional Office.