Carl Ayers
Section 205(a)(2) of the Advisers Act generally makes it unlawful for an SEC-registered adviser to enter into or perform any investment advisory contract unless the ...
Biography of Carl Ayers
This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.
Sections 205(a)(2) and (3) of the Advisers Act generally prohibit registered advisers, and advisers required to be registered, from entering into, extending, renewing, or performing ...
An open-end or closed-end investment company ("fund") registered under the Investment Company Act of 1940 ("Investment Company Act") may seek to arrange a secured financing ...
These are technical amendments to the accredited investor standard under Regulation D.
Click here to see the SEC's guidance.
The Commission adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd- Frank for entities registered ...
Examiners have observed that some broker-dealers have not maintained, nor did they require the maintenance of, adequate written evidence that they complied with their obligations ...