Ernest Badway

The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning
Continue Reading SEC Readying to Hammer BDs and RIAs Over COVID19 Compliance Risks

Fox Rothschild’s Securities Industry Group and Labor & Employment Department have updated the firm’s National Survey on Restrictive Covenants, a quick reference guide for in-house counsel and human resource professionals
Continue Reading Now Available Fox Rothschild’s National Survey on Restrictive Covenants – 2020 Edition

The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have
Continue Reading The DOL: The New Securities Regulator?

NY State Attorney General Targets Finders and Business Brokers in Pandemic Rule-Making

Continue Reading Fox Rothschild’s Securities Industry Group Members Ernie Badway and Alex Kerzhner Publish Alert on NYSAG’s Pandemic Rule-Making on Finders and Business Brokers