Obvious Facts and Bad Company
Fresh off the presses is "Obvious Facts and Bad Company", which I co-wrote for the National Society of Compliance Professionals' (NSCP) October 2023 edition of Currents. There we offer various tips and resources for compliance professionals to conduct OSINT.
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Wealth Compliance Leaders
Yet Another Assortment of . ....
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Wealth Compliance Leaders
Our F3 workouts typically begin at 0530, which leads the smart aleck in me to quip that it is probably better for everyone involved that they can't see me very well. I guess the joke is on me. It was my pleasure to spend some time on camera with Parham Nasseri,...
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Yet Another Assortment of . . .
Brain Droppings!
George Carlin’s Brain Droppings is an inspiration for my micro-blog on LinkedIn. Below are some of my most recent posts.
The Financial Professionals Coalition, Ltd.
For those of you in the registered investment adviser or broker-dealer space,...
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More Thoughts, Ideas and uh, Brain Droppings
As noted time and time again, George Carlin’s Brain Droppings is as an inspiration for my micro-blog on LinkedIn. There I frequently comment on events affecting the broker-dealer and registered investment adviser communities. And there have...
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Another Batch of Brain Droppings
George Carlin’s philosophy tome, Brain Droppings, is as an inspiration for my micro-blog on LinkedIn. Below are some of my most recent posts.
Firms Face Choppy Water Navigating SEC Compliance Dates
“Regulation does not exist in a vacuum.”
I appreciate Investment Adviser Association President Barr saying very publicly (and to...
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My January Brain Droppings
George Carlin was one of our best modern-day philosophers, and his book Brain Droppings served as an inspiration for my micro-blog on LinkedIn. Below are some of my posts for January.
FINRA Amends FINRA Rule 2231
I have not heard anyone exclaim "Oh good, my securities account statement is here!"...
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Yet Even More Brain Droppings – Broker-Dealer Edition
Comedians are some of our best modern-day philosophers, and as I noted earlier, George Carlin was one of the best. He captured his musings, beliefs, etc. in many books. One of which is Brain Droppings, which...
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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 he came to town. Yesterday’s philosophers are today’s comedians, and as I noted earlier, George Carlin was one of the best. Carlin captured his -uh- philosophy in many tomes, including Brain Droppings, which I shamelessly...
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More Brain Droppings – Digital Assets Edition
Comedians are some of our best modern-day philosophers, and as I noted earlier, George Carlin was one of the best of the best. He captured his musings, beliefs, etc. in many books. One of which is Brain Droppings, which I shamelessly stole as an inspiration for my micro-blog on LinkedIn.
FTX’s implosion has thrust cryptocurrencies and...
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With Apologies to George Carlin
George Carlin was one of the best. Not only did he help Alex Winter and Keanu Reeves save the world, but also put together the authority on what makes baseball different from football. (“Baseball begins in the spring, the season of new life. Football begins in the fall, when everything’s dying.”) He also memorialized his –...
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