Carl Ayers
The recipe’s as simple as baking Christmas cookies: do what you’ve promised investors in writing that you’ll do. Violating this simple rule cost private ...
Do you have written supervisory procedures for IRA rollovers? If not, you aren’t alone. One in five advisors and broker-dealers recently examined by the SEC ...
Mark July 21, 2017 on your calendar if you run a proprietary fund owned by a bank. That’s the final date for certain private funds ...
2004 was the first year that the SEC granted broker-dealers relief under Exchange Act rule 17a-8 (financial recordkeeping and reporting of currency and foreign transactions) ...
A peer passes on a copy of the adviser's SEC document request letter from an exam that occurred in the south.
To provide immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens, and for other purposes.
It’s not often the U.S. Supreme Court agrees on a topic unanimously but it did so Dec. 6th in upholding a lower court’s insider trading ...
‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over ...
Congress via Dodd-Frank in 2010 ordered the CFTC to set position limits for derivatives as a way to limit excessive speculation. The CFTC has now ...