Heather Ayers
For broker-dealers, the “best interest contract exemption” to the Department of Labor’s fiduciary proposal (IA Watch, April 14, 2015) is good news and bad news. ...
Mark Tuesday July 14th on your calendar if you’re a compliance officer at a broker-dealer. That’s the day the SEC and FINRA will partner ...
It’s no secret that the SEC has long trained its regulatory glare upon transaction-based compensation and entities that aren’t registered broker-dealers (IA Watch, May 26, ...
Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...
It was 1929, a watershed year for the financial services industry, when Adams Diversified Equity Fund Inc. opened its doors as an internally managed closed-end ...
Broker-dealers may be about to get another reprieve from having to track and report information about large traders. Industry groups are pushing the SEC to ...
The CFTC is proposing to amend the trade option exemption in its regulations, as described herein, in the following subject areas: Reporting requirements for trade ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
You’ll be able to choose from several regional compliance meetings – the old CCOutreach formats – scheduled from June through September this year. OCIE and ...