The Certified Financial Planner Board of Standards Inc. approved a new code of ethics and standards of conduct in 2018.  Enforcement of their “expanded fiduciary standard” for financial advisers and…

For all intent and purposes, the DOL Rule was an absolute mess; a thousand pages of convoluted lawyer language. I don’t know why, but at this point in my life…

With Hurricane Florence barreling down on the east coast, it would be prudent for investment advisers across the country to take a step back and reexamine the measures they have…

On June 4, 2019, the SEC issued a number of sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. In an…

In December 2018, the SEC issued its 2019 examination priorities for 2019. Due to the government shutdown from December 2018 through January 2019 the SEC was late getting started with…

On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member,…