Even More Brain Droppings – Consolidated Audit Trail (CAT) Edition
I am convinced that if Plato was alive, then he would be spending his time at the D.C. Improv whenever…
I am convinced that if Plato was alive, then he would be spending his time at the D.C. Improv whenever…
Comedians are some of our best modern-day philosophers, and as I noted earlier, George Carlin was one of the…
George Carlin was one of the best. Not only did he help Alex Winter and Keanu Reeves save the…
This Is The Business We’ve Chosen Associated persons (an “AP”) know all too well that the regulators post…
An Ode to Curly and Work-Life Balance, Part 4: Equipment I think that we can all agree that…
An Ode to Curly and Work-Life Balance: Service Readers of this blog (Thanks, Mom!) know that I have…
On July 1, FINRA amended Rule 3110.17 to allow broker-dealers to remotely inspect offices of supervisory jurisdiction (OSJs), branch offices…
An Ode to Curly and Work-Life Balance, Part 1: Food In a previous post, I noted that the…
An Ode to Curly and Work-Life Balance: Fitness I noted that the one thing that I need to maintain…
Last week Congress received a bill that would grant the Commodity Futures Trading Commission, not the Securities and Exchange Commission, jurisdiction over…
All of my commentary to this point has concerned matters involving broker-dealers, registered investment advisers and their associates. …
FINRA issued Regulatory Notice 22-11 in April to remind broker-dealers of their obligations in the sale of alternative…
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