Carl Ayers
This is a correction of an earlier rule that put in place risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, ...
OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...
This interim final rule clarifies the scope of permissible access by market participants to swap data and information maintained by a registered swap data repository ...
A broker can deal with securities related to the ownership of a privately-held company without having to register as a broker-dealer.
This no-action letter from the SEC's Division of Trading & Markets in 2014 concerns a broker effecting securities transactions in connection with the transfer of ...
This CFTC rule makes technical amendments to the Commission’s regulations that correct cross-references to regulations administered by the Financial Crimes Enforcement Network (FinCEN), a bureau ...
A fast look: The SEC expects that advisers will produce truthful ads. Trouble can come if a firm puts out false or misleading marketing. ...
1. In your ad reviews, search for the use of superlatives. Hunt for terms and phrases, such as “superior performance,” “guaranteed” and other language you ...