Carl Ayers
Because GRID engaged in general solicitation, the offerings could not have been conducted as exempt offerings without reliance on Rule 504 or Rule 506(c) of ...
The effect of the higher court’s stay is that the CTA remains in effect and firms would be expected to report their ownership beginning with ...
The valuable lessons from this case suggest best practices for when a rep and a firm part ways, while also revealing the risks
If you’ve ever had to castigate an employee for failing to report security purchases proscribed by your code of ethics, know even the SEC runs ...
These transactions were known within Rose Park both leading up to and at the time of signing the documents in March 2021, including by the ...
Best practices after firing a rep, SEC also has issues with staff reporting trades, ESG still big overseas, and much more
In 2025, managers will need to redouble their efforts to ensure they are meeting all of the various standards being applied to the industry
The adviser made false and misleading claims about its investment strategies and their performance, failed to present net performance information alongside gross performance, and was ...
The lack of any regulatory framework for sustainable strategies in the U.S. beyond the SEC fund-naming rule means managers will have a more difficult time ...
'The biggest area of enforcement that we continue to see is around private jets'