Carl Ayers
A peek at the regulatory year ahead can be seen in a new speech by SEC Chair Mary Jo White. In speaking Dec. 11th, White ...
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But ...
Should you decide to “exclude disregarded private funds” under Instruction 7 of Form PF, you would not include the funds’ assets when reporting your regulatory ...
Two years ago, traders Todd Newman and Anthony Chiasson were charged with insider trading, allegations that eventually took down their firms – an investment adviser ...
This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...
The Commission is adopting new Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (Exchange Act) and conforming amendments to ...
Forget about user fees to pay for more investment adviser exams – at least for now. A recent letter from House Republicans to SEC Chair ...
Investors moving to put their money into companies that do good appears as hot as an Arizona solar panel in July. A new report on ...
A case from this past summer against SunTrust Investment Services ($9.5B in AUM) in Atlanta stands out as unusual because the dual-registrant settled FINRA charges ...