Carl Ayers
Remember, since this is a leap year, the presence of a Feb. 29th means that the 90th day of the year is March 30. If ...
The Commodity Futures Trading Commission (the “Commission” or the “CFTC”) is issuing a final rule to amend the limited trade options exemption in the Commission’s ...
It may be hard to fathom politicians becoming frustrated with political answers but such was the scene at the March 15th hearing on SEC commissioner ...
Advisor Armor, a cybersecurity consulting firm in Scottsdale, Ariz., gives IA Watch permission to share its remote access control policy and procedure. An adviser could ...
The latest effort by the SEC’s Division of Investment Management to encourage mutual fund, ETF and registered investment company advisers to disclose concerns about interest ...
The proposed rule would expand and clarify the exemptions for certain U.S. persons with signature or other authority over foreign financial accounts. In addition, the ...
It almost makes too much sense. If a private equity fund adviser manages a portfolio that includes companies that produce a product, the adviser’s staff ...
For years, Robert Lansing Hicks wore multiple hats at Finance 500, an Irvine, Calif., brokerage he started in 1982. A recent settlement with FINRA suggests ...
FINRA cracked down hard last year on firms that did not do right by their customers. In 2015, the regulator slammed offenders with $46.3 million ...