Carl Ayers
The question for the U.S. Supreme Court to decide is whether an employee deserves the label of a whistleblower – and thus anti-retaliation protections – ...
SEC chairman Jay Clayton appeared to downplay chances that regulators would be able to agree on a single fiduciary standard suitable for all investors and ...
CFTC Chair J. Christopher Giancarlo invokes a Roman god to sum up his job description at the agency. Not that he views himself as sacrosanct. ...
With credit rating agencies stating that they’re reviewing certain securitized swaps arrangements and may negatively rate them, affected entities asked and received from the CFTC ...
The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as ...
The SEC has removed the “acting” from Peter Driscoll’s job title and elevated him to OCIE director. He had been named as acting director in ...
SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s coming MiFID II ...
The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...
Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the ...