What Are the Hallmarks of a Strong Compliance Program?

I thought it would be interesting to hear it from the horse’s…

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Stop the Abuse—Elder Fraud Prevention and Privacy Laws

Several financial regulators, including the SEC, the CFTC, the FTC and the…

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Welcome 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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New Report: FINRA Fines Trending Downward

FINRA fines are significantly lower for the first half of 2013, according…

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New Rule 506(c) — Are You Sure You Are Reasonable?

It went in effect yesterday. “It” being the SEC’s historic amendment to…

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Twitter, the IPO and the JOBS Act

Twitter and its IPO must have been one of the topics most…

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Broker-Dealers to Face Tougher Custody Rules

The SEC recently adopted significant changes to the broker-dealer reporting rules.  The…

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