Carl Ayers
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
(a) Venture capital fund defined. For purposes of section 203(l) of the Act (15 U.S.C. 80b-3(l)), a venture capital fund is any entity described in subparagraph ...
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office and place ...
The Commission shall submit annually a report to the Congress covering the work of the Commission for the preceding year and including such information, data, ...
An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, without limitation, verification ...
Nothing in this title shall relieve any person of any obligation or duty, or affect the availability of any right or remedy available to the ...