Carl Ayers
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, can be used to have staff attest to agreeing to abide by a ...
This 2014 proposal provide would hold that certain communications involving security-based swaps that may be purchased only by eligible contract participants will not be deemed ...
This exemption letter from the CFTC permits certain commodity pool operators from having to file Form CPO-PQR.
For some advisers, their clients must go to their custodian’s website, say a Charles Schwab or Fidelity, to glance at their portfolios online. Some build ...
You may have missed it, given that the SEC picked the day before the big Labor Day weekend to announce its first whistleblower award to ...
The government alleges Robare & Jones Asset Managers ($150M in AUM) in Houston earned $441,000 in hidden fees over eight years without disclosing or adequately ...
Add a new party in predicting what an advisory firm may pay should Congress permit the SEC to assess user fees to fund more RIA ...
By allowing broker-dealers to offer investment advice without living under a fiduciary duty standard, “the SEC is permitting them to deceive investors about the nature ...
The SEC’s not the only regulator on your radar screen looking at alternative mutual funds (IA Watch, Aug. 28, 2014). FINRA is also looking at ...