Carl Ayers
You may ask what a non-profit group that works to ensure Tennessee walking horses aren’t harmed has to with an investment adviser barred by an ...
At FINRA, fraud is top of mind, judging by the SRO’s 2018 annual priorities letter (BD Watch, Jan. 11, 2018). But that covers a multitude ...
Cyber bad guys target the CFTC’s website hundreds of times a day, sometimes they even take it down (CPO/CTA Watch, March 19, 2015). “The ...
Tim Hickman of White & Case in London gives RCW permission to share with you his firm's flowchart to help you determine if you are ...
To promote economic growth, provide tailored regulatory relief, and enhance consumer protections, and for other purposes.
The Commodity Futures Trading Commission (Commission) is amending Rule 143.8, its rule that governs the maximum amount of civil monetary penalties, to adjust for inflation. ...
TD Ameritrade gives us permission to share with you its checklist for meeting the SEC's seven conditions regarding custody.
It’s been one year since the SEC issued its long-awaited guidance concerning custody (IA Watch, Feb. 23, 2017), yet confusion continues to reign. This is ...
Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...