Carl Ayers
The SEC proposes amending Regulation SBSR to apply the regulatory reporting and public dissemination requirements to transactions that are arranged, negotiated or executed by personnel ...
Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...
This guidance update from the SEC's Division of Investment Management includes best practice suggestions for how firms can deal with cybersecurity.
A new guidance update from the SEC released Tuesday encourages steps investment and fund advisers can take to improve their ability to repel cyber threats. ...
This is H.R. 1560 that passed the House in April 2015. It would strengthen the nation's response to the threat of cyber-attacks.
If you harbored any doubt that compliance staff can qualify for an SEC whistleblower award, remove it (IA Watch, March 26, 2012). Last week, the ...
With the Federal Register release of the Department of Labor’s new proposal revising the definition of a fiduciary under ERISA, you have until July 6 ...
If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you ...
With the bulk of their assets in retirement accounts, independent broker-dealers are bracing for big changes in the wake of the Department of Labor’s proposal ...