Carl Ayers
Last week, the Department of Labor put out a request for industry comment on the use of so-called brokerage windows in 401(k) and other ERISA ...
The newest category of regulatory registrant, the municipal advisor, is on notice that OCIE is beginning a sweep exam. The targets will be only those ...
This is an introductory letter sent from OCIE in August 2014 describing topics examiners may pursue when looking at entities registered as municipal advisors.
Blackbook Capital charged customers $60.50 in addition to or in lieu of commissions on 4,515 transactions over a roughly two-year period, FINRA says. The firm ...
If you go to arbitration with a dissatisfied customer, you will no longer be able to settle the case contingent on the customer’s agreement not ...
This is the Dodd-Frank provision that supposedly limits the SEC's Enforcement Division to act on an investigation within 180-days of a Wells action. However, the ...
(a) DEFINITIONS.—In this section— (1) the term ‘‘Federal banking agencies’’ means the Office of the Comptroller of the Currency, the Board of Governors of the ...
This correction amends erroneous cross-references found in three sections of the final CFTC rules for FCMs and DCOs.
This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that have an aggregate fair ...