Everyone should have one. If you need more convincing, please read my…
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 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…
Read MoreNew Report: FINRA Fines Trending Downward
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…
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