Carl Ayers
(a) Initial margin. (1) Except as provided in paragraph (c) of this section, a covered swap entity shall not be required to collect initial margin ...
(a) Covered swap entities shall comply with the minimum margin requirements for uncleared swaps on or before the following dates for uncleared swaps entered into ...
Each person registered as an introducing broker, commodity pool operator, or commodity trading advisor must become and remain a member of at least one futures ...
This document identifies selected 2015 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
This is the 2015 rendition of the biannual no-action letter from the SEC's Division of Trading & Markets allowing broker-dealers through the customer identification (CIP) ...
Compliance officers should take note of the FinCEN lawsuit filed last month against Thomas Haider, the former CCO at MoneyGram. The regulator seeks a court ...
Early in 2015, Garden State Securities ($135M in AUM) will uncork new risk-based supervisory policies and procedures, per new rules from FINRA that were effective ...
FinCEN has again extended the deadline for certain entities to have to file the annual Report of Foreign Bank and Financial Accounts (FBAR) – this ...
A lot of broker-dealers are wary of using social media as a promotional tool, either because they don’t understand the pertinent regulations or they’re scared ...