Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and
The past year has included a fair amount of economic uncertainty, impacting businesses trying to plan for the future and properly equip their teams. We’ve talked to teams who wonder
These are unusual times at best. Many Americans, and many people around the world for that matter, are feeling scared, stressed, and frustrated. According to the National Endowment for Financial
As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance
For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating
Compliance professionals have a tough job – trying to balance organizational risk while supporting sales and marketing growth efforts. In order to best serve the needs of the business, and
For those of us who are working remotely, it can be challenging to remember which day of the week it is – there’s not a lot of differentiation between workdays
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 9231 to provide for the
Physical and financial health are both top of mind in a crisis situation like the pandemic the world is currently facing. While flattening the curve and limiting the spread of
Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals.
Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes
The past year has included a fair amount of economic uncertainty, impacting businesses trying to
These are unusual times at best. Many Americans, and many people around the world for
As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC”
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC”
For most financial advisers, staying compliant means applying extreme diligence across a variety of areas
Compliance professionals have a tough job – trying to balance organizational risk while supporting sales
For those of us who are working remotely, it can be challenging to remember which
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC”
Physical and financial health are both top of mind in a crisis situation like the
Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job
