Bill Myers
Broker-dealers and dual registrants hoping to get right with the pending Reg BI deadline should put together a “conflicts inventory” and focus training on the ...
SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...
The Trump Administration’s proposed overhaul of the Volcker Rule should go even further by making clear that it may take more than three years to ...
Crooks are like the virus—once they attach to you, it’s hard to get rid of them. Unlike the coronavirus, they’re not going to kill you, ...
The SEC is weighing changes to its two decades old “Names Rule,” hoping to accommodate the realities of a more complicated world financial system. The ...
Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...
Broker-dealers who advance their customers cash from sweep accounts won’t have the outlay count against their net assets while they wait for banks to make ...
Investment advisers will be able to borrow from sister funds during the coronavirus pandemic, the SEC has announced. The March 23 order allows funds to ...
The SEC is relaxing many of its rules as the coronavirus continues to burn through the world economy, but the agency’s top enforcers have issued ...
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...