Carl Ayers
The Commodity Exchange Act gives ample opportunities for smaller CPOs to avoid registration – but you must notify the NFA that you are claiming an ...
A peer shares the firm's policies and procedures for marketing materials and advertising.
A peer passes on the firm's policies and procedures for marketing.
You’ll have until Sept. 14 to comment on the Labor Department’s new proposed rule that would delay its controversial full fiduciary duty rule until July ...
Regulators have long looked skeptically at registered reps using professional designations that suggest special expertise in working with senior investors. But if you are careful, ...
This document proposes to extend the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the ...
Between crowdfunding portals and slimmed-down rule books for specialized brokers, FINRA has been easing regulations related to capital-raising. And more may be on the way. ...
A peer provides a copy of the firm's NFA exam letter.