On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…
Read MoreSAC Capital, Insider Trading and the Southern District
It would be old news already if the case had not garnered…
Read MoreFINRA Cracking Down on “No Fee” Advertising
FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…
Read MoreSEC Examinations Targeting Advisers Who Are Still Waiting for Godot
I have worked with a number of advisers who have never ever…
Read MoreThe NYT Dealbook Conference 2013: Opportunities for Tomorrow
The New York Times Dealbook Conference was one of the most inspiring…
Read MoreThree Steps to an Effective Whistleblower Program
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…
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