Posts from April 2018.

While SEC Examinations can be extremely intimidating, we've found that the SEC Exam process doesn't have to be nearly as painful as many firms assume it to be....

Proper disclosure of the costs of investing, including disclosure of all fees and their potential effects on the value of investments, is critical for all firms. However, despite a focus, for years now, on this issue by the SEC, FINRA...

If you run afoul of FINRA rules and regulations, FINRA has the authority to fine, suspend or bar brokers and firms from the industry. Depending on the violation, when it was discovered, and by whom, you may be faced with...

It's back! Billions kicked off Season 3, Episode 1 with the intellectual prowess that we've all come to expect. Hedge fund king Bobby "Axe" Axelrod continues to be on the defense for potential violations of federal securities laws. Axe and...

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