Heather Ayers
This SEC document request letter shows examiners wanted to see proof that the adviser knew its custodians were sending notice of custody account statements, among ...
This letter, from the SEC's Los Angeles Regional Office, went to a broker-dealer in 2014. This letter features an unusual table of data that examiners ...
This letter, sent to a never-been-examined firm, features an unique table that examiners wanted the adviser to complete. It would provide the number of clients ...
The oldest baby-boomers are approaching 70 years old. The chances you’ll find yourself working with a customer with impaired cognitive functions grow greater every day. ...
Apparently bowing to industry pressure, the CFTC last week announced that it will soon propose a new rule that will exclude commodity trading advisors from ...
Clearer lines have been drawn to help registered investment companies that are feeder funds or fund of funds understand when they can issue unconsolidated financials ...
The rule appears easy enough to understand. If you sell high-yield municipal bonds to retail investors, you must sell them in lots of $100,000 or ...
This is a copy of an SEC document request letter sent to an advisory firm in 2014.
Click here to open a Word file that is an example of policies and procedures for the SEC's whistleblower rule. These come with permission of ...