Finding A Way.

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...

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