Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of...
The SEC initiated an effort several years back, mandating companies to come forward if they had...
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast...
On January 27th, 2020, the Securities and Exchange Commission’s Office of Compliance...
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Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new...
Not sure how to communicate with your younger coworkers or clients? Looking to attract new clients...
Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one...
CYBERSECURITY-QUESTIONNAIRE-1-1 Understanding Cyber Insurance Guest Blog Post by Linda M. Vecoli...
