5 12, 2022

Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties

By |2022-12-05T11:23:08-05:00December 5, 2022|Broker-Dealer, Communication, Communications, Rules and Regulations, SEC|

On September 22, 2022, the Securities and Exchange Commission announced [...]

19 08, 2022

Private Placement Best Practices from FINRA Disciplinary Actions

By |2022-08-19T14:56:33-04:00August 19, 2022|Broker-Dealer, Fines, FINRA, Private Placements, Rules and Regulations|

FINRA (Financial Industry Regulatory Authority) publishes a monthly review of [...]

29 07, 2022

What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?

By |2022-07-29T14:03:58-04:00July 29, 2022|Registered Investment Advisers, Rules and Regulations, SEC|

Marketing and advertising in the mid-20th Century was very different [...]

15 07, 2022

FINRA Unscripted Podcast: Regulation Best Interest and Form CRS Two Years In

By |2022-07-15T13:30:59-04:00July 15, 2022|Broker-Dealer, FINRA, FINRA Conferences, Form CRS, Regulation Best Interest|

FINRA recently released a podcast Regulation Best Interest and Form [...]

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