Carl Ayers
It never hurts to hear from your regulator where your peers have fallen short. SEC Enforcement Director Andrew Ceresney pointed to “certain problematic conduct ...
The Department of Labor’s final fiduciary rule gave the industry more than one year to fully comply but already some are worrying that that won’t ...
FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers in securities; ...
The OCC, Board, FDIC, FHFA, NCUA, and SEC (the Agencies) are seeking comment on a joint proposed rule (the proposed rule) to revise the proposed ...
As the presidential election season turns toward a two-person race, a new pay-to-play case suggests you ask candidates about their political contributions before you extend ...
SEC chair Mary Jo White has said the Commission is looking to finalize this year its first-ever major update to its regulations covering alternative trading ...
CFTC commissioners voted May 2 to approve a final rule that redefines “material terms” under its rules to exclude the need to report 24 data ...
The Department of Labor’s fiduciary duty rule largely leaves swaps arrangements outside of its purview, in part because the SEC and the CFTC already troll ...