Carl Ayers
"Today’s amendments would change this requirement for the largest broker-dealers to daily computation rather than weekly"
"The rule the Commission is adopting today increases, for the largest broker-dealers, the frequency at which they must perform the reserve calculations"
"The adoption of the final amendments has been rushed in an apparent attempt to be promulgated prior to the end of the Biden Administration"
The errors in LPL’s EBS submissions were caused, in large part, by coding issues in LPL’s and/or its vendors’ EBS reporting systems
Wells Fargo self-identified and self-reported all but one of the errors that underly this Order, including five that were self-reported prior to any regulatory inquiry ...
You have to go back 10 years to when the SEC ordered certain private fund advisers to file Form PF. Apparently, seven SEC RIAs didn’t ...
Compliance scorched over trading case, firms pay for neglecting Form PF, perhaps the final DOE risk alert of the year and much more
You must comply with these requirements in order for documents to be timely received and accepted
This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports
Kyi caused SogoTrade’s failure to accurately document its CIP procedures