Carl Ayers
At a time when Republicans hold the trump card in Washington, regulators are on the defensive. But they are not giving up, either. Witness the ...
Years of wrangling over the constitutionality of the SEC’s ALJ setting appears to be coming to a head. Ten appeals court judges heard arguments May ...
Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...
In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...
Nine months after proposing a new rule – and seven months after the GAO criticized its whistleblower rules (CPO/CTA Watch, Nov. 3, 2016) – the ...
The January proposal from the CFTC to modernize its recordkeeping rule attracted only 16 comments, but some urged the Commission to mirror its rules on ...
With visions of boosting its analytics, monitoring of derivatives and exams, the CFTC has submitted a budget request to Congress that seeks an increase of ...
The following FAQs provide additional information on the transition period from June 9, 2017 to January 1, 2018.1 This guidance, like the Fiduciary Rule and ...
The Commodity Futures Trading Commission (the “Commission”) is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions ...