Carl Ayers
Sandy Katz is considered an “all-star” rep. So when a manager questioned why he wasn’t putting clients into cheaper mutual fund share classes, he “escalated” ...
Those significant new disclosures for Form ADV kick in this October, but you should be ready for them even if your annual updating amendment isn’t ...
It may have taken three years of lobbying for the industry to wrest out of the SEC new guidance around custody (IA Watch, Feb. 23, ...
You won’t be expected to adopt an accrual accounting method to satisfy the new requirement to report financial ratios on your reports to the National ...
We are adopting technical amendments to conform several rules and forms to amendments made to the Securities Act of 1933 (‘‘Securities Act’’) and the Securities ...
The results are in for IA Watch’s latest flash survey of subscribers. We took at peek at longevity on the job and found that most ...
The loud pounding upon the door of the fashionable suburban house north of New York City began about 5 a.m., startling the occupants – including ...
Come next February, broker-dealers will have a few more tools in their arsenal to protect their senior customers from financial exploitation. The SEC March 30 ...
Dawn Bennett may have chosen to ignore the SEC’s ALJ setting and the Commission but that didn’t stop the two current Commissioners from kicking her ...