Carl Ayers
SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a compliance ...
FINRA and the SEC have simultaneously released FAQs tied to rule 4210 and Exchange Act rules 15c3-1 (net capital rule) and 15c3-3 (customer protection), respectively, ...
Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...
Advisers should review their compliance programs and practices in light of the topics noted in this Risk Alert. This information is intended to assist advisers ...
The recent U.S. Court of Appeals for the 2nd Circuit’s 2-1 decision affirming the insider trading conviction of a former portfolio manager hammers another nail ...
Taking remedial actions have been shown to curry favor with SEC enforcement staff. The latest example of this comes with a strange twist. The ...
October 2015. That’s the last time the SEC consisted of its full five commissioners. President Trump’s nomination of Columbia University Law Professor Robert Jackson to ...
Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminally ill persons ...
On the 9th anniversary of the Lehman collapse, CFTC Chairman J. Christopher Giancarlo traveled to Switzerland to urge continued international regulator unity. Raising memories of “the ...