In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

March 2022 Overview & Summary President Biden signed an executive order on Wednesday, March 9 […]

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 […]