Carl Ayers
The insider trading case that led to Wells Fargo Advisors ($334B in AUM) in St. Louis last month paying a $5 million fine to the ...
This no-action relief from the CFTC in 2014 explains how a delegating CPO can escape the registration requirements in Section 4m(1) of the Commodity Exchange ...
Nearly all investment advisory firms now host their own website. The number of RIAs that participate in wrap fee programs is increasing. More firms are ...
This no-action letter from the SEC's Division of Investment Management hails from 1998. It tackles the use of ratings from Dalbar surveys and whether the ...
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 ...