The SEC initiated an effort several years back, mandating companies to come forward if they had...
On January 27th, 2020, the Securities and Exchange Commission’s Office of Compliance...
Note: This story originally appeared on FINRA. You may read it here. Anybody remember the movie...
Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one...
Employee termination can be a challenging and legally sensitive process for any organization. The...
U-5 Summary The Financial Industry Regulatory Authority (FINRA) establishes rules and regulations...
Have you had the trust talk? Your retired clients may be thinking about what happens to their...
The General Data Protection Regulation (GDPR) was approved by the European Union on April 14, 2016,...
The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...
