Carl Ayers
Form CRS, for preparation, filing and delivery of Form CRS. (a) Scope of section. This section shall apply to every broker or dealer registered with ...
F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and marketing of mutual ...
The SEC is proposing to amend rules to reflect the new, higher registration, termination of registration and suspension of reporting thresholds under revised Exchange Act ...
The SEC extends temporary Investment Adviser rule 206(3)-3T (principal trade) through 2016.
The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...
The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to ...
Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comply with requirements when acting ...
The news keeps getting better for commodity trading advisors. A new CFTC no-action letter builds on recent regulatory developments aiding CTAs. For instance, it extends ...