Carl Ayers
The SEC extends temporary Investment Adviser rule 206(3)-3T (principal trade) through 2016.
The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...
The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to ...
Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comply with requirements when acting ...
The news keeps getting better for commodity trading advisors. A new CFTC no-action letter builds on recent regulatory developments aiding CTAs. For instance, it extends ...
A peek at the regulatory year ahead can be seen in a new speech by SEC Chair Mary Jo White. In speaking Dec. 11th, White ...
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But ...
Should you decide to “exclude disregarded private funds” under Instruction 7 of Form PF, you would not include the funds’ assets when reporting your regulatory ...
Two years ago, traders Todd Newman and Anthony Chiasson were charged with insider trading, allegations that eventually took down their firms – an investment adviser ...