Carl Ayers
FINRA calls it its “Engagement Initiative.” But think of it this way: a chance to influence the agenda of the SRO’s new top leadership. ...
The invitation is out for you to reserve your spot at one of four upcoming compliance meetings that the SEC will stage this spring. ...
Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approved an amendment ...
The Securities and Exchange Commission (“Commission”) is adopting an amendment to the Settlement cycle Rule (Rule 15c6-1(a)) under the Securities Exchange Act of 1934 (“Exchange ...
A peer shares a form to demonstrate functioning in the best interest of a client
The staff believes that a Holding Company may not have the characteristics12 of an investment company until it fails the 40% Threshold.13 Accordingly, the staff ...
As is explained below, the Commission is extending for 60 days the comment period for the Proposal until May 15, 2017.
As is explained below, the Commission is extending for 60 days the comment period for the Proposal until May 15, 2017.
More than 500 comments have flooded into the Labor Department about its proposal to delay for 60 days its fiduciary duty rule (IA Watch, March ...