Carl Ayers
Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment advisers, investment companies, ...
This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...
This rule includes new Dodd-Frank regulations that apply to the registration and operation of a new type of regulated entity named a swap execution facility. ...
This CFTC regulations defines the criteria for grouping swaps into separate swap categories and establish methodologies for setting appropriate minimum block sizes for each swap ...
This SEC rule is designed to protect against a client's identity being stolen
This final rule acknowledges the end of the CFTC's Division of Clearing and Intermediary Oversight and the reassigning of its staff and responsibilities to the ...
This rule permitted the CFTC to delegate its authority to staff concerning the disclosure of information to self regulatory organizations created in the wake of ...
This rule corrects a compliance date.