Carl Ayers
After the SEC last year charged Timbervest ($1.1B in AUM) in Atlanta with improperly splitting undisclosed commissions (IA Watch, Sept. 30, 2013), the firm promised ...
Although we reported months ago that SEC examiners would select a handful of alternative mutual fund advisers for its current sweep exam (IA Watch, April ...
The SEC’s first Investor Advocate Rick Fleming urged Congress to pass legislation allowing the agency to charge investment adviser user fees to pay for more ...
Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...
Last week, the Department of Labor put out a request for industry comment on the use of so-called brokerage windows in 401(k) and other ERISA ...
The newest category of regulatory registrant, the municipal advisor, is on notice that OCIE is beginning a sweep exam. The targets will be only those ...
This is an introductory letter sent from OCIE in August 2014 describing topics examiners may pursue when looking at entities registered as municipal advisors.
Blackbook Capital charged customers $60.50 in addition to or in lieu of commissions on 4,515 transactions over a roughly two-year period, FINRA says. The firm ...
If you go to arbitration with a dissatisfied customer, you will no longer be able to settle the case contingent on the customer’s agreement not ...