Finding A Way.

The NYT Dealbook Conference 2013: Opportunities for Tomorrow

The New York Times Dealbook Conference was one of the most inspiring conferences that I have attended in a long, long time. Maybe ever. The line-up: Curated...

The SEC and the Chief Compliance Officer, 2013

Mary Jo White recently gave a speech before the National Society of Compliance Professionals that I found noteworthy.  It focused on the role of the Chief Compliance...

Taking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million

The Securities and Exchange Commission awarded more than $14 million to a whistleblower earlier this month.  The information led to an enforcement action that recovered substantial investor...

Crowdfunding, the SEC and The New Rules—What Finally Came Down Today

The wait and speculation is over for now.  Today the SEC proposed rules under Title III of the JOBS Act that allow start-ups and small businesses to...

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...

Are DOL and SEC Fiduciary Rules Headed for a Collision?

Two federal government agencies are currently working to create new fiduciary rules for the investment industry, a process that several lawmakers fear will result in conflicting regulations....

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...

Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced the Investors Choice...

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