The New York Times Dealbook Conference was one of the most inspiring…
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Everyone should have one. If you need more convincing, please read my…
Read MoreFINRA’s Conflicts of Interest Report: Bridging the Great Divide?
FINRA issued a report on conflicts of interest within the broker-dealer industry…
Read MoreThe SEC and the Chief Compliance Officer, 2013
Mary Jo White recently gave a speech before the National Society of…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreCrowdfunding, the SEC and The New Rules—What Finally Came Down Today
The wait and speculation is over for now. Today the SEC proposed…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreStop the Abuse—Elder Fraud Prevention and Privacy Laws
Several financial regulators, including the SEC, the CFTC, the FTC and the…
Read MoreFINRA Approves Revamped Broker Compensation Proposal
On September 19, FINRA’s Board of Governors approved a proposal that would…
Read MoreWelcome to the Club: Municipal Advisors Now Subject to SEC Scrutiny
The registered advisor community just got a little larger. The SEC recently…
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