Carl Ayers
Quick question: How did you answer Form ADV, Part 1 Item 1.O? It reads: Did you have $1 billion or more in assets on the ...
Complex products and alternative investments are hot button issues for FINRA. Witness the 2016 priorities letter in which the SRO expressed concern about “shortcomings” in ...
You can expect a phone call from FINRA if you are not explicit in your Form U5 filings about the reason for a termination. Last ...
Commodity trading advisors, pool operators, futures commission merchants and introducing brokers who work outside the U.S. and act on behalf of only “persons located outside ...
We are adopting Rule 13q–1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ...
The Commodity Futures Trading Commission ("Commission") is proposing to amend Commission regulation § 3.10(c)(2) and (3). The proposed amendment would amend the conditions under which ...
IA Watch's latest YouTube video features ERISA attorney Marcia Wagner of the Wagner Law Group in Boston discussing the elements of a best interest contract. ...
Consider creating correspondence that fairly lays out the pros and cons of a retirement investor either keeping his money in his 401(k) plan or moving ...
The SEC has long trained its sights on wrap fee programs (IA Watch, Aug. 4, 2014). The latest example of this interest can be seen ...