Carl Ayers
This letter comes from an SEC exam launched in 2015 from the SEC's Los Angeles Regional Office.
The Commission is proposing to amend Regulation ATS to adopt Form ATS-N. Proposed Form ATS-N would require NMS Stock ATSs to provide information about the ...
The verdict’s finally in on a repeat violator and it includes language preventing the adviser’s owners from adding any new clients or assets for a ...
SEC Commissioners moved this week to amend Regulation ATS to require dark pools to report data. They approved a proposed rule that would bring greater ...
Several years ago, the SEC granted relief for registrants facing conflicting Commission and ERISA rules (IA Watch, Nov. 7, 2011). Earlier this year, an SEC ...
Today, SEC Chair Mary Jo White, in addressing Congress, stated that staff are “preparing a recommendation to the Commission for proposed rules requiring third-party compliance ...
A year after a former OCIE examiner resolved his case of violating SEC ethics rules regarding securities holdings (IA Watch, April 28, 2014), another case ...
Seven months after taking over as acting director of the SEC’s Office of Compliance Inspections and Examinations, Marc Wyatt was named the formal OCIE director ...
This chart shows how to present past-specific recommendations in line with the SEC's TCW no-action letter.