Carl Ayers
It comes around every five years – but this anniversary is different. We’ve told you before about the Treasury’s Bureau of Economic Analysis laundry ...
The battle’s on. SIFMA released June 3 a detailed “best interests of the customer standard” for broker-dealers that included regulatory language to replace FINRA rule ...
SEC examiners may not know if your firm has hired an outsourced CCO until they arrive on site. That would change should the agency’s new ...
No business would risk operating today without backing up its computer systems. Yet if the bad guys got a hold of your backup tapes, they ...
It may be six months before we’ll see a grade that the SEC’s Office of Inspector General gives OCIE. In the OIG’s latest report to ...
Investment company advisers would have to indicate if their CCOs are compensated or employed by anyone other than their fund, according to the SEC’s new ...
The SEC approved a long-debated pilot program to see whether an increase in tick size for the stocks of smaller and emerging companies will enhance ...
It’s no secret that high-frequency trading has been in the crosshairs of SEC (IA Watch, Oct. 22, 2014). A proposed rule would require as many ...
In a move to “modernize” the industry data the SEC receives from investment advisers and investment companies, the Commission May 20th unanimously approved two new ...