-1.png)
1 minute read
With technology changing almost overnight, regulators face the difficult task of overseeing new...
1 minute read
The 2017 Masters Golf Tournament reminds us of an SEC enforcement action that was settled on...
1 minute read
As anticipated, the U.S. Department of Labor (DOL) has announced an extension of the applicability...
2 minute read
Your annual Firm Element training should reflect the unique and diverse nature of your firm and...
3 minute read
It wasn't long ago that a good number of investment advisers and industry professionals had the...
1 minute read
The Department of Labor (DOL) has proposed a delay in the applicability date of its Fiduciary Rule...
3 minute read
It’s hard to believe it has been over ten years since the inception of NASD Rule 3012 (n/k/a FINRA...
2 minute read
In the Seinfeld sitcom which has been in syndication for years, Jerry’s friend, George Costanza,...
2 minute read
Spring is approaching and you may feel it is time to clean out the office, including the filing...