Carl Ayers
This is a wide-ranging congressional bill that would amend financial services laws. This was proposed by Rep. Jeb Hensarling (R-Texas) in 2016.
After nearly four years atop the SEC, Chair Mary Jo White has announced she will leave with the Obama Administration. She joined the Commission ...
In the early hours of Wednesday, when overseas markets initially sank on the news that Donald Trump was the president-elect, the SEC reached out to ...
Love Ranch, Father of Invention, Black Water Transit, Before the Devil Knows You’re Dead are among the nearly 20 films produced by self-proclaimed private equity ...
Here’s an appealing anti-money laundering compliance model for a small broker-dealer. Focus on a few high-level objectives. Position your compliance officer within earshot of your ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer (“CCO”) ...
Following an August proposal, the three CFTC commissioners Nov. 10 unanimously agreed to a final rule giving CCOs at futures commission merchants, swap dealers and ...
SEC commissioners have unanimously found that a Houston-based advisory firm and its two principals failed to adequately disclose a revenue-sharing arrangement. But only two of ...
Late last Friday, a U.S. District Court Judge in Washington, D.C. sided with the Labor Department and dismissed the National Association for Fixed Annuities’ lawsuit seeking ...