Carl Ayers
This document is being published to correct language in that rule to more precisely reflect the holder of record threshold established by Exchange Act Section ...
On the surface, it certainly seems that James Winkelmann either runs into bad luck when selecting business partners or he’s a poor judge of character. ...
Two years after David Zier, the former CEO of Convergent Wealth Advisers ($4.6B in AUM) in Potomac, Md., took his life after questions were raised ...
This document makes technical corrections to a rule that was published in the Federal Register on May 10, 2016 (81 FR 28689). The Commission adopted ...
The year draws to a close with the CFTC finalizing a new final rule that revises Commodity Exchange Act rule 150.4 (aggregation of positions) to ...
For five years ending in 2012, traders at Goldman Sachs manipulated a key interest rate benchmark to benefit the firm’s proprietary derivatives’ positions while harming ...
FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...
Failing to supervise your reps’ use of consolidated reports will cost you. Wells Fargo Advisors has agreed to pay a $1 million fine to settle ...
Here’s one top industry official’s prescription for managing your business in 2017: Hope for the best and prepare for the worst. Translation: Hopes for ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is issuing a final rule to amend part 150 of the Commission’s regulations with respect to the ...