Carl Ayers
Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. ...
Only days before the U.S. Supreme Court hears oral arguments in a case brought by an adviser charged with misleading advertisements, another RIA settled its ...
Dan Berkovitz once served as the CFTC’s general counsel. If President Trump has his way, Berkovitz will now get to serve as a commissioner. ...
Remember that carrot FINRA dangled for self-reporting mutual fund sales over-charges? Some of your peers apparently didn’t. They got the stick. FINRA made it ...
It may have been decades in the making but it took SEC commissioners only two hours April 18 to submit their proposed stance on fiduciary ...
; Request for Comment on Enhancing Investment Adviser Regulation
Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena
The examination staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (Commission) has prepared this brochure to provide ...
File this under the boys scouts’ rule to be prepared. If you’re a real estate adviser, know that some OCIE examiners may question your right ...