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 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…
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The wait and speculation is over for now. Today the SEC proposed…
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SEC Chair Mary Jo White recently confirmed that the SEC will not…
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Two federal government agencies are currently working to create new fiduciary rules…
Read MoreWill We See Crowdfunding Rules This Fall?
Mary Jo White said it. It’s on C-SPAN. Crowdfunding rules could finally…
Read MoreCongress Could Nix Mandatory Arbitration With Investors Choice Act
In light of the absence of SEC action on topic, Rep. Keith…
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