Posts from June 2019.
Protecting Retail Investors: Thoughts from SEC Director Peter Driscoll, OCIE

In a speech given in late April, Peter Driscoll, Director of the Office of Compliance Inspections and Examinations (OCIE), discussed the importance of cooperation among compliance officers, senior management, and the OCIE to promote compliance and more effectively protect...

Illegal Trading Based on Insider Information: Nevada Man Charged

The Securities and Exchange Commission (SEC) announced it had settled charges against Brian Fettner, a Nevada resident, who illegally obtained and later made trades based on sensitive "insider" information he discovered while staying at the residence of a long-time...

Digital Asset and Cryptocurrency Websites: The SEC Warns of Increase in Fraudulent Activity

The developing market of virtual currencies and online trading continues to present difficulties for the financial investment industry. In late April 2019, the Securities and Exchange Commission (SEC) released an investor alert that advised extreme caution surrounding digital asset...

5 Simple Guidelines for Navigating Form U5

By: Robert D. Conca, Esq., Partner Throughout any financial professional's career transitions are inevitable and an integral part of the transition is the filing of a Form U5. For those who are unaware, Form U5 is a formal documentation...

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