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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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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ProVisors DC/Metro Region Group 8

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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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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Social Media Hygiene and Recordkeeping

Reporter Dalvin Brown advised that “deleting old social-media posts is good hygiene, no matter who you are.”  See The Wall Street Journal, How to Delete Your Old Posts on Instagram, Facebook and Twitter (posted February 20, 2022).  Agreed.  Posting to social media can lead to unintended, and sometimes severe, consequences.  However, industry practitioners are reminded...
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Defend Yourself

It rarely ends well for an RIA who fails to appear before the Securities and Exchange Commission to defend his or her position. Witness the latest industry bar. Are you facing a SEC action?   Please contact me to discuss. Read more: Expungement of Complaints from the CRD The SEC's 2022 Examination Priorities ...
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