As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]
What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]
The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]
Founder and Managing Partner
Managing Principal
Home » New membership application (NMA)
As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]