Before you even start reading this, go to Outlook or whatever calendar…
Read MoreSEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments
Whether or not 2014 will be the year of the alternative investments,…
Read MoreSEC Issues Guidance on General Solicitation Rules
On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…
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 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…
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