Carl Ayers
The SEC extends temporary Investment Adviser rule 206(3)-3T (principal trade) through 2016.
The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...
The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to ...
Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comply with requirements when acting ...
The news keeps getting better for commodity trading advisors. A new CFTC no-action letter builds on recent regulatory developments aiding CTAs. For instance, it extends ...
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 ...