FINRA fines are significantly lower for the first half of 2013, according…
Read MoreNew Rule 506(c) — Are You Sure You Are Reasonable?
It went in effect yesterday. “It” being the SEC’s historic amendment to…
Read MoreTwitter, the IPO and the JOBS Act
Twitter and its IPO must have been one of the topics most…
Read MoreBroker-Dealers to Face Tougher Custody Rules
The SEC recently adopted significant changes to the broker-dealer reporting rules. The…
Read MoreProposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban
SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreWill We See Crowdfunding Rules This Fall?
Mary Jo White said it. It’s on C-SPAN. Crowdfunding rules could finally…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
Read MoreCongress Could Nix Mandatory Arbitration With Investors Choice Act
In light of the absence of SEC action on topic, Rep. Keith…
Read MoreSEC Shows Its Teeth With Falcone Settlement
Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital…
Read MoreDo You Have a Business Continuity Plan?
We are entering the height of hurricane season on the East Coast,…
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