Carl Ayers
Washington’s glacial pace – slowed by partisan bickering – has claimed another victim. CFTC Commissioner Sharon Bowen was due to leave her seat in ...
Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...
More report cards are on the way – as are “heat maps” for setting exam parameters. Regulators are not looking to “nit pick,” however, and ...
The membership of the CFTC may be a shell of its full size (see related story), but Acting Chairman Christopher Giancarlo promised June 22 that ...
A peer shares the firm's recent document request letter from an NFA exam.
With the countdown underway to October’s introduction of a new Form ADV (IA Watch, April 13, 2017), you now have fresh guidance via 24 new ...
OCIE’s been making the rounds lately, not on exams, but on tour. Last week, the agency completed its fourth and final outreach meeting of 2017 ...
The SEC’s still not commenting on its monumental defeat in the U.S. Supreme Court with a decision that slaps a five-year statute of limitations on ...
As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Investment Adviser Association ...