Carl Ayers
As we’ve already established (IA Watch, Oct. 20, 2016), you have plenty of time but lots of work ahead to comply with the SEC’s two ...
If your firm plans any large acquisitions of an entity’s stock this year, don’t forget to notify the Federal Trade Commission and the Department of ...
The staff cautions advisers to be aware that they may have custody due to the authority resulting from various agreements that may be in place ...
A peer passes on the firm's recent exam letter.
New life has been breathed into Ray Lucia’s fight against SEC charges that the adviser’s Buckets of Money® strategy doled out false and misleading advertising. ...
This week the new Financial CHOICE Act that would modify Dodd-Frank and other financial services’ regulation is expected to be unveiled. IA Watch has obtained a ...
IA Watch has spoken with sources with the Financial Planning Coalition who met Feb. 14 with the White House’s Office of Management and Budget about ...
In ERISA parlance, if you manage investments for a plan you’re either a so-called 3(21) or a 3(38) fiduciary – the numbers originating from ERISA’s ...
Third time’s the charm. Once again, the SEC is delaying its security-based swaps rules for those swaps entered into before Dodd-Frank went into effect in ...