Carl Ayers
The Securities and Exchange Commission is adopting amendments to rule 22c-1 under the Investment Company Act to permit a registered open-end management investment company (“open-end ...
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is adopting amendments to Rule 17Ad–22 and adding new Rule 17Ab2–2 pursuant to Section 17A of the
Securities ...
A spirited lawyerly give-and-take in oral arguments held Oct. 5 exposed no sign where U.S. Supreme Court justices may go with the key insider trading ...
Another month, another memorandum of understanding signed by the CFTC. This time with the UK’s regulator, the Financial Conduct Authority. The reason for the ...
It’s taken the Public Company Accounting Oversight Board a long time to develop an inspection program for custody auditors so the SEC has extended its ...
To give the agency more time to sift through comments about its security-based swap data repository registration rules, the SEC has extended the industry’s compliance ...
Industry groups and brokerage firms embraced, in theory, a proposed overhaul of gifts and entertainment rules by FINRA, but said regulators should make further changes ...
A source shares language purported to come from an OCIE exam deficiency letter dealing with the custody issue of moving funds between accounts and custodians.
The Commodity Futures Trading Commission (Commission or CFTC) is adopting an amendment to Commission regulation 50.4(a) to expand the existing clearing requirement for interest rate ...