Heather Ayers
Finding out how your compensation compares with your peers – locally and nationally – is now but a click away. Announcing IA Watch’s and NSCP’s ...
You’re likely to read future SEC enforcement actions related to poor compliance P&Ps for checks made prior to transactions. That conclusion can be drawn from ...
FINRA’s arbitration forum has myriad problems, many of which would be solved by allowing investors to pursue their grievances in court, reads a report issued ...
FINRA member firms don’t always have to settle disputes with clients via FINRA arbitration, a federal court has ruled. This was the second such ruling ...
This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...
This is the SEC's custody rule
(a) Venture capital fund defined. For purposes of section 203(l) of the Act (15 U.S.C. 80b-3(l)), a venture capital fund is any entity described in subparagraph ...
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office and place ...