Carl Ayers
Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules
This final rule from the CFTC served to bring some of its regulations in line with Dodd-Frank reforms.
This correction makes an editorial correction to language of the preamble that conflicted with the rule text of the final rule.
This final rule sets up a schedule to phase in compliance with the clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act.
The rules further defined the terms ‘‘swap dealer,’’ ‘‘security-based swap dealer,’’ ‘‘major swap participant,’’ ‘‘major security-based swap participant’’ and ‘‘eligible contract participant.’’ Only the rules ...
This correction fixes an earlier regulation regarding Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management, and Core Principles and Other ...
These new regulations, called for by Dodd-Frank, create new or amended rules, guidance, and acceptable practices that apply to the designation and operation of contract ...
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