As the SEC struggles to meet rulemaking deadlines under the JOBS Act,…
Read MoreSEC Adviser Exams: What to Expect When an Examiner Comes Knocking
Given recent statements by the SEC Chairman Mary Jo White, the SEC…
Read MoreLPL Learns the Hard Way: Make Sure You Save Those Emails
FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million…
Read MoreSEC Hoping to Take Control Over Adviser Oversight With Stepped Up Exams
The SEC continues its efforts to prove that it is up to…
Read MoreThe Man in the Arena
When I did the Chopra piece last week, and spent some thought…
Read MoreFINRA Enforcement Set to Break Records
FINRA is on pace to break its own enforcement records, based on…
Read MoreDo Advisers Need to Raise the Red Flag?
SEC recently finalized rules requiring investment advisers, and other entities under its…
Read MoreThis One’s Important — What Do Crowd Funding Investors Look for in a Start-Up Company?
For startups and entrepreneurs looking to explore crowdfunding opportunities, there is really…
Read MoreBrotherhood: Deepak and Sanjiv Chopra
I went to hear Deepak and Sanjiv Chopra speak at the Hudson…
Read MoreFood=Health=Beauty
I went to hear Brendan Brazier speak at The Seed last weekend.…
Read More