In a recent speech, FINRA CEO, Richard Ketchum, told broker-dealer compliance officers that, although firm compliance programs have improved, there must be heightened supervision when it comes to complex products.
Continue Reading Did You Know That Some Of Your Products Require Heightened Supervision
Reasonable Supervision
Fox’s New PA Trial Practice Blog
By Fox Rothschild on
Our colleagues, including our partner, Wendy Rothstein, have just started a new PA trial blog. We recommend it to everyone:http://patrialpractice.foxrothschild.com/.Continue Reading Fox’s New PA Trial Practice Blog
IMPACT 2012 Venture Summit Mid-Atlantic: Proof That Good Things Can Have Really Long Names
By Fox Rothschild LLP on
If you look around Philadelphia, you can see signs of a vibrant, growing city. Neighborhoods long lost to urban decay and lost manufacturing jobs are finding new life as homes…
The Independent Contractor Business Model; How Do You Protect Yourself Against A Thief
By Joshua Horn on
Many broker-dealers, both large and small, associate with registered representatives as independent contractors instead of employees. Although this business model is attractive for many reasons, like decreased overhead for the…