Carl Ayers
Misinterpreting the rules of your regulator can be costly. Pershing learned that lesson the hard way after staff misinterpreted certain aspects of the SEC’s customer ...
This one had a little bit of everything—your standard diversion of investor money sprinkled with custody and principal transaction violations. The SEC recently charged VERO ...
Every asset-backed issuer subject to §240.13a-1 shall make reports on Form 10-D (§249.312 of this chapter). Such reports shall be filed within the period specified ...
An issuer that has received notice that it is the subject of a tender offer made under Section 14(d)(1) of the Act (15 U.S.C. 78n), ...
(a) An application for registration of a broker or dealer that is filed pursuant to section 15(b) of the Act (15 U.S.C. 78o(b)) shall be ...
(a)(1) Every broker or dealer exempted from the filing requirements of paragraph (a) of §240.17a-5 shall, not later than 17 business days after the close ...
The Securities Whistleblower Incentives and Protection provisions do not provide amnesty to individuals who provide information to the Commission. The fact that you may become ...
If a registration statement is prepared on a form available solely to investment companies registered under the Investment Company Act of 1940, or a business ...
(a) Definitions. For purposes of this section – (1) Affiliate of a security-based swap data repository means a person that, directly or indirectly, controls, is ...