Carl Ayers
Using your Form ADV brochure to alert wrap fee program clients that they may face higher trading costs if their adviser uses a broker other ...
Recently, a top FINRA official observed that broker-dealers “have more work to do” when it comes to their anti-money laundering compliance programs (BD Watch, Feb. ...
Expect FINRA to move forward soon with a proposal to streamline its corporate financing rule. It is part of the SRO’s retrospective rule review process. ...
President Trump is asking the Senate to remove the word “acting” from in front of the title of temporary CFTC Chairman J. Christopher Giancarlo. If ...
Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you. 1. Foreign affiliates that fall ...
Despite several revisions of the SEC’s interpretation of the custody rule, the agency hasn’t budged on one tenet: having the ability to access a customer’s ...
A huge sigh of relief can be heard from the industry now that the Labor Department has announced it won’t enforce violations of its fiduciary ...
The unionized OCIE examiner worked a four-day, 10-hour per day schedule that allowed him to take off Fridays. But the firm he was examining kept ...
You’ve heard before the best practice of showing examiners a PowerPoint presentation about your firm on the first day of their visit (IA Watch, Sept. ...