Carl Ayers
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance officers (“CCOs”) of swap dealers ...
These proceedings arise from the improper use of mutual fund assets to pay nearly $18 million for the distribution and marketing of fund shares outside ...
Pick a side. One claims Dodd-Frank has stifled the economy and harmed Main Street. The other says replacing Dodd-Frank would invite back the risky financial ...
If only compliance training could hold the drama of a last-second shot that brings victory in a basketball contest. Well, maybe if the topic touches ...
Making $6,000 in under 10 minutes would make a lot of people’s day. The problem for Kevin Amell is that that option trade was ...
Final legal arguments were filed April 24 as an investment adviser accused of marketing fraud contests the SEC’s actions on the grounds that the agency’s ...
A former rep with a prior FINRA settlement on his record for violating the SRO’s suitability rules has now run afoul of the SEC for ...
Fully one-quarter of the 334 enforcement actions filed by the SEC in the first half of fiscal year 2017 have involved broker-dealers. Actions against broker-dealers ...
If your firm or its associated persons intends to communicate regarding firm business through a text messaging app or chat service, first ensure that you ...