The Securities and Exchange Commission (“SEC”) recently charged a Greenwich, Conn.-based investment advisory firm and its two owners with fraudulently inflating the prices of securities in the hedge fund portfolios…

The Securities and Exchange Commission (“SEC”) recently issued fraud charges against an investment adviser and the adviser’s owner for improper trade allocation. The charges stemmed from the adviser’s alleged allocating…

The Federal Financial Institutions Examinations Council is providing a Cybersecurity Assessment Tool that institutions can use to help identify risks and evaluate their policy. While this tool was not designed…

You will often hear regulators and compliance professionals speak about the need for investment advisers and broker dealers to establish a culture of compliance within their firms. Instituting this type…

As of June 19, 2015 it will become much easier for small business startups to raise capital, as Title IV of the Jumpstart Our Business Startups Act of 2012 (“Act”)…

On May 27, FINRA filed a rule change with the SEC proposing an amendment to rule 2210 to require each FINRA member’s website to include a “readily apparent reference” and…

The Securities and Exchange Commission announced an award of more than a million dollars to a compliance professional who provided information that assisted the SEC in an enforcement action against…

On March 4, 2015 the Securities and Exchange Commission (SEC) brought charges to Irving, Texas based Broker Dealer, H.D. Vest Investment Securities (the Firm). The SEC alleged that the Firm…

FINRA has released its 10th Annual Regulatory and Examinations Priorities Letter, highlighting its 2015 regulatory focus. FINRA announced they will highly scrutinize certain product offerings including interest rate sensitive fixed…

FINRA’s rule requiring member firms to conduct a public records search to verify the accuracy and completeness of information on a Rep’s Form U4 has been approved and goes into…

The SEC has once again brought action against a firm for failure to properly disclose existing conflicts of interest. According to the SEC’s Order, the firm entered into an ‘undisclosed’…

Traditionally, the Securities and Exchange Commission (“SEC”) has only been able to impose penalties on regulated entities and individuals through the administrative process. Since passage of the Dodd-Frank Wall Street…