Carl Ayers
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations to enhance the process for reviewing whistleblower claims and to make ...
Investment advisers have never served more clients (36 million) nor managed more assets ($66.8 trillion), and the industry displays strong jobs growth spanning small to ...
The CFTC is extending its comment period on its proposed annual report rule change by two weeks to Sept. 20, 2016.
The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including ...
Pursuant to section 763(i) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities ...
If there’s one solid takeaway from the recent RiverFront enforcement action it’s to be as clear as you can in describing your step-out trades within ...
You’ve been put on notice that OCIE will be doing a sweep exam looking at compliance P&Ps over the selection of mutual fund share classes ...
Supervising independent networks is hard. How do you incentivize diverse groups of advisors to follow the rules of the road? What structures are best suited ...
FINRA has been doing a lot more exams of branch offices (IA Watch, June 16, 2016). Here are some tips on how you can survive ...
Using high-tech methods, FINRA in recent years has been tracking reps’ outside business activities – and firms’ supervision of them – with growing sophistication. Are ...