Carl Ayers
The Commodity Futures Trading Commission is proposing enhanced requirements for a derivatives clearing organization’s testing of its system safeguards, as well
as additional amendments to reorder ...
In the first of a required-Dodd-Frank issued report, SEC staffers suggest the Commission should consider several changes to its definition of an accredited investor, including ...
A peer shares a form that lays out how the firm compares brokers.
FINRA is uncorking a new report card in the New Year aimed at helping broker-dealers identify and prevent manipulative trading activity such as spoofing and ...
The SEC made a splash this fall when it cleared the way for equity crowdfunding for small investors (IA Watch, Oct. 30, 2015). For broker-dealers, ...
The final rule, Regulation Crowdfunding, under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III ...
Lessons aplenty can be found in the new SEC settlement with Morgan Stanley Investment Management ($257B in AUM) over the illegal “parking” of some trades ...
In a case that has rattled Wall Street’s nerves, the SEC Dec. 16th gave Third Avenue Management ($9.9B in AUM) in New York permission to ...
Getting a handle on the stream of share classes offered by mutual funds and their attendant fees can seem formidable. Yet recent share class allocation ...
The season of giving produced two new rules from the CFTC – one a proposal that would dictate cybersecurity actions and the second a final ...