Hugh Kennedy
Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-winning writer and conference speaker, he has covered key issues stemming from the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Labor, Public Company Accounting Oversight Board, NCUA, banking agencies, Capitol Hill, NASAA and other regulators. He has developed and created a number of new publications, online databases and value-added portals serving the needs of financial industry professionals.
The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products
The price tag of the fees accruing to fund investors has been put at more than $220 million a year
FINRA will implement changes effective Oct. 1 to its private placement rules
Share class selection, fee markup practices, and best execution all cited in enforcement action
SRO is asking B-Ds to "promptly" notify their risk monitoring analyst about digital assets plans
Current lack of regulation in the cryptocurrency markets deemed "unsustainable" by senator
New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities
The number of individual investors working with advisers has grown nearly 40% over the past two years
Feedback sought on younger, novice investors and those not working with a registered investment professional
New FINRA regulatory notice focuses on minimum equity
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