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6 minute read
As you know, unlike MFIDII or other pan-European regulations, the General Data Protection...
1 minute read
Not to be confused with the blues song, “Long Tall Sally,” the SEC’s new research tool, SALI, can...
2 minute read
Although basketball is a team sport, one-on-one games are great exercise. Typically, players call...
2 minute read
On March 22, 2018, a final judgment was entered against an investment adviser who was the former...
3 minute read
While the FINRA Exam Priorities letter will not be nominated for the Man Booker award or a...
2 minute read
This time of year, it is common practice for broker-dealers (“BDs”) to take a close look at their...
2 minute read
Just as investment advisers implement an asset allocation strategy to benefit their clients,...
3 minute read
On October 26, 2017, Stephanie Avakian, Co-Director of the SEC’s Enforcement Division, gave a...
3 minute read
As a registered investment adviser, you are required to keep any and all records of client...