Carl Ayers
The SEC’s Investor Advisory Committee last week approved sending recommendations to the full Commission that would topple the current rules for verifying an accredited investor. ...
The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets trained on ...
Finding out how your compensation compares with your peers – locally and nationally – is now but a click away. Announcing IA Watch’s and NSCP’s ...
You’re likely to read future SEC enforcement actions related to poor compliance P&Ps for checks made prior to transactions. That conclusion can be drawn from ...
FINRA’s arbitration forum has myriad problems, many of which would be solved by allowing investors to pursue their grievances in court, reads a report issued ...
FINRA member firms don’t always have to settle disputes with clients via FINRA arbitration, a federal court has ruled. This was the second such ruling ...
This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...
This is the SEC's custody rule