Analysis of cutting-edge securities industry issues
The SEC approved a number of rule changes promulgated by the MSRB to facilitate risk-based examinations for participants in the municipal securities industry. These municipal securities industry participants are, generally, FINRA…
Continue Reading MSRB Rules Changes Allow For Risk-Based Exams
Late last week, one of my colleagues sent me an e-mail where he copied 8 other people, half of them I could not identify if my life depended upon it. I then…
Continue Reading PSST!!! Want to Save Money on Your Legal Bills? Read on. . .
Please join us for this program on Thursday, January 5, 2012.
C:Documents and SettingsebadwayLocal SettingsTemporary Internet FilesOLK8Fcle_GovernmentAndInternalInvestigations.htmlContinue Reading Fox Rothschild Primer on Government Investigation– All Invited
My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk. It details methods for investigating and responding to ponzi schemes.
In this day…
Thought you might be interested in a recent podcast I did concerning my securities law practice. http://web.me.com/cordpar/Client_Development_Tips/Law_Consulting_Coaching_Podcast/Entries/2011/10/28_Developing_a_Securities%2C_White_Collar_and_Complex_Litigation_Practice.htmlContinue Reading Securities Podcast with Ernest Badway
Both the SEC and the PCAOB have proposed standards that would amend Exchange Act Rule 17a-5, to require broker-dealers and their auditors to include various schedules and financial reports with…
Continue Reading The SEC’s New Proposed Rule 17a-5 Amendments and Adoption by PCAOB
