Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
Overview In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]
December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]
September 2021 Overview & Summary FINRA announced that it is conducting a review of firm […]
News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]
The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]
Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]
(The Economist | May 2019) Excerpt from the article Rise of the No Men The […]
Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 […]
President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a […]
NEW YORK, NY /PRESS RELEASE/ - Building on its leadership position in the compliance professional […]
Coinbase, who recently acquired broker-dealer Keystone Capital Corp in June 2018, announced the addition of […]
Compliance Risk Concepts, LLC, a business-focused team of seasoned compliance professionals providing top tier compliance […]
Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement […]
On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form […]
