FINRA’s Conflicts of Interest Report: Bridging the Great Divide?

FINRA issued a report on conflicts of interest within the broker-dealer industry…

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The SEC and the Chief Compliance Officer, 2013

Mary Jo White recently gave a speech before the National Society of…

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

The Securities and Exchange Commission awarded more than $14 million to a…

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

The wait and speculation is over for now.  Today the SEC proposed…

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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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