Finding A Way.

What Are the Hallmarks of a Strong Compliance Program?

I thought it would be interesting to hear it from the horse’s mouth once more. Speaking before the Society of Corporate Compliance and Ethics’ 12th Annual Compliance...

Stop the Abuse—Elder Fraud Prevention and Privacy Laws

Several financial regulators, including the SEC, the CFTC, the FTC and the CFPB recently issued joint guidance clarifying that advisers and brokers, among others, may alert the...

FINRA Approves Revamped Broker Compensation Proposal

On September 19, FINRA’s Board of Governors approved a proposal that would require brokers to disclose recruitment compensation paid to them as an incentive to move to...

Welcome to the Club: Municipal Advisors Now Subject to SEC Scrutiny

The registered advisor community just got a little larger. The SEC recently adopted rules establishing a permanent registration regime for municipal advisors as required by the Dodd-Frank...

New Report: FINRA Fines Trending Downward

FINRA fines are significantly lower for the first half of 2013, according to a new report by Sutherland Asbill & Brennan, LLP. An analysis of  Disciplinary and...

New Rule 506(c) — Are You Sure You Are Reasonable?

It went in effect yesterday. “It” being the SEC’s historic amendment to Rule 506, the new Rule 506(c), which permits general solicitation and advertising in securities offerings...

Twitter, the IPO and the JOBS Act

Twitter and its IPO must have been one of the topics most written about last week.  For the uninitiated, Twitter tweeted, of course, last Friday that it...

Broker-Dealers to Face Tougher Custody Rules

The SEC recently adopted significant changes to the broker-dealer reporting rules.  The SEC proposed the changes to Rule 17a-5, Reports to be made by Certain Brokers and...

Proposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban

SEC Chair Mary Jo White recently confirmed that the SEC will not delay the lifting of the ban on general solicitation over the additional disclosure rules proposed...

Will We See Crowdfunding Rules This Fall?

Mary Jo White said it.  It’s on C-SPAN. Crowdfunding rules could finally be released this fall.   I don’t really like writing news about no news, but given...

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