Carl Ayers
Only days after CFTC Chairman J. Christopher Giancarlo told Congress that his agency was running into some tensions with regulators in Europe, the agency and ...
We are proposing amendments based on the recommendations made in the staff’s Report on Modernization and Simplification of Regulation S-K, as required by Section 72003 ...
Lawmakers questioning CFTC Chairman J. Christopher Giancarlo Oct. 11 about his plans for the agency asked about cybersecurity, relations with Europe, FinTech and his regulatory ...
Much attention has focused of late on the hack of the SEC, the same entity that OCIE examiners would ask you to upload your documents ...
Nearly three years after the SEC charged Howard Present, CEO of the ill-fated advisory firm F-Squared Investments, a federal jury has found Present liable for ...
Under FINRA’s new senior investor protection rules, it’s clear that the new Trusted Contact requirement applies only to non-institutional customer accounts. But what about trust ...
Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are either rampantly ...
The complication of answering new Form ADV Item 5.D. (clients) just evaporated. Count your clients the “way you normally” do, according to a new SEC ...
Louis Martin Blazer III billed his investment advisory firm as a concierge for professional athletes. But after OCIE examined the firm in 2013, it detected ...