Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 1

Your day was going great.  You helped a client with a particularly complex situation.  Another client submitted the paperwork to transfer accounts to your firm.  You did not have to deal with a bulldozer trying to demolish your home. 

Then you received a message from a “@sec.gov” or “@finra.org” email...

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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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