Carl Ayers
In a new FAQ, the SEC states that the deadline for CEOs to attest that their entities satisfy the Volcker Rule’s compliance program requirements is ...
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...
This final rule amends Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. The final rules require that, with ...
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, can be used to have staff attest to agreeing to abide by a ...
This 2014 proposal provide would hold that certain communications involving security-based swaps that may be purchased only by eligible contract participants will not be deemed ...
This exemption letter from the CFTC permits certain commodity pool operators from having to file Form CPO-PQR.
For some advisers, their clients must go to their custodian’s website, say a Charles Schwab or Fidelity, to glance at their portfolios online. Some build ...
You may have missed it, given that the SEC picked the day before the big Labor Day weekend to announce its first whistleblower award to ...