Heather Ayers
March 1 ushers in the new cybersecurity rule from the National Futures Association, as scary stories continue to mount about cyber hackers trolling the industry ...
We’ve written about the perils of getting sued for defamation over Form U5 statements, and how to minimize your exposure (IA Watch, June 9, 2015; ...
Are corrective action statements, especially those involving changes in personnel, worth it (see related story)? Unlike a Form U5, where firms are required to ...
The FDIC and the SEC are jointly proposing a rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under Title ...
This year could bring the end of Advisers Act rule 206(3)-3T (temporary rule for principal trades with certain advisory clients) – although this has been ...
Come May 16, start-up and early stage companies will be permitted to use crowdfunding to offer and sell securities to investors (IA Watch, Oct. 30, ...
The Midwest investment adviser had wended its way successfully through an SEC exam only months before an examiner from the Department of Labor arrived. Mere ...
When it’s all added up, the Financial Planning Association suffered a $40,000 loss in 2014, according to its most recent IRS-990 filing. However, when contrasted ...
In its 2016 exam priorities, FINRA says it will focus on private placements, including suitability, disclosure and due diligence. No surprise there. Private placements have ...