Carl Ayers
This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...
The Commission is adopting new Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (Exchange Act) and conforming amendments to ...
Forget about user fees to pay for more investment adviser exams – at least for now. A recent letter from House Republicans to SEC Chair ...
Investors moving to put their money into companies that do good appears as hot as an Arizona solar panel in July. A new report on ...
A case from this past summer against SunTrust Investment Services ($9.5B in AUM) in Atlanta stands out as unusual because the dual-registrant settled FINRA charges ...
An administrative proceedings release last week by the SEC indicates that Christopher Kelly, the former CCO at Sands Brothers Asset Management ($64M in AUM) in ...
Members of the Investment Adviser Association can give thanks for another good year in 2013, according to the non-profit’s latest IRS-990 filing obtained by IA ...
The brokerage industry is fighting hard against a revised FINRA plan to collect data electronically that it now gathers during examinations (IA Watch, Nov. 5, ...
FINRA and the MSRB have released parallel rule proposals intended to make bond pricing clearer to retail investors. The rule would apply to corporate and ...