Carl Ayers
That sweep of investment advisers and broker-dealers announced earlier this year to look at how firm’s deal with cybersecurity has concluded (IA Watch, April 21, ...
Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting ...
A major stumbling block preventing serious consideration of a user fee bill to pay for more SEC exams of advisers has been the lack of ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...
Securities regulators, broker-dealers and other financial institutions will form a working group to figure out how to make brokerage fee disclosures easier for investors to ...
In a new FAQ, the SEC states that the deadline for CEOs to attest that their entities satisfy the Volcker Rule’s compliance program requirements is ...
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...
This final rule amends Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. The final rules require that, with ...