Carl Ayers
The exemption proposed in this document, if granted, would allow certain insurance intermediaries, and the insurance agents and insurance companies they contract with, to receive ...
It can be difficult shortly after New Year’s to think about next year but you should if the EU’s coming regulatory landscape, known as Markets ...
The failure of a registered rep to disclose material information on Form U4 is among the most common and consequential of enforcement actions that FINRA ...
It’s difficult for regulators to keep up with change, especially in the information age. But CFTC commissioners have unanimously voted to propose updating its books ...
Only days after OCIE’s 2017 exam priorities recorded examiners’ interest in public pension advisers and compliance with the pay-to-play rule (IA Watch, Jan. 12, 2017), ...
You need to go back to August 2011 when Exchange Act rule 21F-17 (staff communications with individuals reporting possible securities law violations) went into effect ...
Statutory disqualification rules most profoundly affect individuals who fail to disclose a DUI or a tax lien. But firms have duties, too. Here are some ...
Given the seriousness of the issue and the risk to all regulated entities, certain regulatory minimum standards are warranted, while not being overly prescriptive so ...
The proposed amendments would implement Title LXXXVI of the FAST Act and make associated changes to the Commission’s regulations governing the grant of access to ...