U.S. Securities and Exchange Commission (SEC)

fraud.jpgThe outside business activities of registered persons have the potential for causing your firm significant liability, especially where those activities are unknown to the firm, involve firm customers and constitute
Continue Reading What Does FINRA Rule 3270 Mean To You

confusion.jpgAt a regulator’s round table during a recent National Society of Compliance Professionals meeting, the regulators framed out those issues that are keeping them up at night.  The issues include:

Continue Reading Do You Want To Know What Keeps The Regulator Up At Night?