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…
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…
The SEC’s Division of Examinations (“EXAMS”) posted its observations concerning registered investment advisers’ compliance with Section 204A of…
As noted recently, FINRA’s monthly publication of its Disciplinary and Other FINRA Actions offers various insight and teaching…
Anyone Can Indict a Ham Sandwich – or Put a Complaint on an AP’s Record [1] From where…
MENOs and MEORs and MEOFs, Oh My! – A High-Level Overview of CAT Reporting The Consolidated Audit Trail (CAT) is…
Industry participants know that FINRA’s monthly posting of its “Disciplinary and Other FINRA Actions” offers insight into its…
Reporter Dalvin Brown advised that “deleting old social-media posts is good hygiene, no matter who you are.” See…
In Regulatory Notice 22-10, FINRA offers the broker-dealer community guidance on when it will consider charging a Chief Compliance…
It rarely ends well for an RIA who fails to appear before the Securities and Exchange Commission to…
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