Join me, along with co-presenters Daniel Garrie of Law and Forensics and Jessica Friedman of JP Morgan Chase, for a recorded CLE webinar offering an update on the New York
Continue Reading Ernie Badway Participates in West LegalEdCenter Webinar: A Look at NYDFYS Regulations ― Two Years In
There is an old saying: “the more things change, the more they stay the same.” It seems every few years (usually, the result of a political shift) we see the
Continue Reading Here Come the States… In the Trump Era, the States May Be the New Top Securities Cops
As recently reported in the Investment News, the North American Securities Administration Association (NASSA) reported on the results of state coordinated examinations. The relative good news was that there were
Continue Reading Who wants to know five compliance trouble areas for state-based advisors
On January 1, 2013, California joined Maryland and Illinois in restricting securities employers’ access to their employees’ and job applicants’ social media accounts. This new law was announced on Twitter, and
The North American Securities Administrators Association is exceedingly active, coordinating many broker-dealer examinations by a variety of state regulators.
NASAA has found that the greatest number of violations involved books and records
Continue Reading What Brokers Need to Know to Make States Happy
The SEC’s Division of Trading and Markets released guidance on the JOBS Act’s elimination of restrictions on analyst communication and research reports concerning initial public offerings of emerging growth companies.
The
Continue Reading You Need to Be Concerned About Analyst Communications under the JOBS Act
Private equity companies have recently been hit with a barrage of regulatory subpoenas.
Responding to these subpoenas may cost the private equity firms to expend millions of dollars. These entities should
This blog entry about hedge fund insurance coverage almost sounds like a car insurance commercial. Sadly, both are critical in today’s modern society.
Given the current regulatory environment, volatile market conditions, and
State securities regulators are going after investment adviser firms with a vengeance, including, but not limited to, seeking prison time for those who violate the their securities laws.
A recent NASAA report
Continue Reading Investment Advisers Wary of State Civil and (Gulp!) Criminal Action
With the east coast in the midst of Hurrican Sandy, I am sure we are all thinking about a nicer place right now. Apparently, the Seventh Annual National Institute on
Continue Reading ABA Seventh Annual National Institute on Securities Fraud