Carl Ayers
New rules from the SEC regarding advertising and fiduciary duty. A rougher economy and more stock market turbulence. Political upheaval. Tougher OCIE exams of advisers ...
The New Year opens like a new book, awaiting only for you to write your story. Gain some ideas for tasks to tackle in 2019 ...
We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2019. These items become effective in 2019. Contrast ...
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.” This adage could apply to ...
Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting. ...
This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients ...
View the latest Conquering Current Compliance Challenges webinar.
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulations implementing ...
This is legislation that passed the House in 2018.
A new legal settlement – fining Barclays Bank $15 million – recounts the extraordinary steps the firm’s CEO took to try to unmask two whistleblowers. ...