Carl Ayers
A best practice guaranteed to reduce a compliance officer’s risks of facing possible enforcement liability from the SEC is to act on red flags. But ...
This is a final rule promulgated in 2014 by six federal agencies, including the SEC. It targets the securitization of mortgages, and was mandated by ...
Last week, a divided SEC Commission voted 3-2 to approve a final rule requiring entities that securitize mortgages and other debts as collateralized loan obligations ...
Many advisers continue to generate deficiencies on SEC exams because they incorrectly determined that they don’t have custody, said Renee Esfandiary, assistant director of the ...
Two exceptions to FINRA rules against brokers sharing compensation with non-registered persons have been proposed by the SRO. The first would allow members to pay ...
David Kotz understands a thing or two about fraudsters. As the SEC’s inspector general, he investigated the agency’s behavior in the years leading up to ...
Recognizing that most broker-dealers wouldn’t be able to afford to carry insurance against arbitration or court judgments, FINRA has decided against mandating that they do. ...
The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...
Many advisers continue to generate deficiencies on SEC exams because they incorrectly determine that they don’t have custody, said Renee Esfandiary, assistant director of the ...