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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Expungement? Not So Fast, My Friend
This Is The Business We’ve Chosen
Associated persons (an “AP”) know all too well that the regulators post a considerable amount of information about their history online – particularly, allegations of misconduct. This information can lead to, among...
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Finding Balance as a Lawyer, Part 4: Equipment
An Ode to Curly and Work-Life Balance, Part 4: Equipment
I think that we can all agree that work-life balance – whatever that means to you – is critical. Just consider the events of the past few years. (And, no Nationals’ fans, I am not talking about the Juan Soto trade.) I have offered my views...
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Finding Balance as a Lawyer, Part 3: Service
An Ode to Curly and Work-Life Balance: Service
Readers of this blog (Thanks, Mom!) know that I have offered a few thoughts about the roles that food and fitness played in my effort to achieve work-life balance. These are not the only components. Service is an important part of my life as well.
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The...
Is The Past Prologue? FINRA Permits Remote Inspections . . . For Now
On July 1, FINRA amended Rule 3110.17 to allow broker-dealers to remotely inspect offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations through the end of 2022. The substantive requirements remain unchanged. A broker-dealer must: (1) have procedures for...
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Finding Balance as a Lawyer, Part 2: Fitness
An Ode to Curly and Work-Life Balance: Fitness
I noted that the one thing that I need to maintain – Curly’s finger, if you will – is balance. The balance between managing my practice, being a good husband, father, friend, etc. and taking care of my spirit, mind and body. I previously wrote about the role that...
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Not Quite the “Wild West”
Last week Congress received a bill that would grant the Commodity Futures Trading Commission, not the Securities and Exchange Commission, jurisdiction over the growing digital assets market. The goal is to, as CNBC put it, tame the “’Wild West’ crypto...
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Finding Balance as a Lawyer, Part 1: Food
An Ode to Curly and Work-Life Balance, Part 1: Food
In a previous post, I noted that the one thing that I need to maintain – Curly’s finger, if you will – is balance. I need to have balance between managing my practice, being a good husband, father, friend, etc. and taking care of my...
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Cowboy Curly, Mitch and Work-Life Balance
All of my commentary to this point has concerned matters involving broker-dealers, registered investment advisers and their associates. It is what I do. I help them spend more time building out their businesses by addressing their legal and compliance issues with clear, detailed advice.
Today, though, I would like...