Michael Easter wrote about a misogi: a challenge designed to expose your weaknesses. Compliance reviews work the same way. Read the May 2026 edition of Law & Order here: https://t.co/sZRLvAeu7J
FINRA's proposed Rule 3290 is an improvement on OBA disclosure standards. However, the bigger issue is the breadth of disclosures publicly available about a registered rep and broker-dealers' control over those disclosures.
https://t.co/gTJ9HmmXOp
Please join me in welcoming my new assistant, Caitlin Abbott. Caitlin will bring her wealth of experience as a legal assistant to help the firm's clients spend more time serving their own clients. Welcome, Caitlin!
I've moved. No, it's not to the east side or to a deluxe apartment in the sky, but it's exciting nonetheless. You can now find me at 4201 Wilson Boulevard, 3rd Floor, Arlington, VA 22203.
Because broker-dealers and RIAs want to spend their time serving their clients.
I help broker-dealers and registered investment advisers spend more time serving their clients and their business and less time serving their regulators. Contact me at https://t.co/05xkhlHjhu if you want to bring decades of Wall Street experience to your firm.
Many look at April 15 with a side-eye. However, the broker-dealer community has something to look forward to on that day. Read more at https://t.co/Yf6JmXDWhZ.
I help broker-dealers and registered investment advisers spend more time serving their clients and their business and less time serving their regulators. Contact me at https://t.co/05xkhlHjhu if you want to bring decades of Wall Street experience to your firm.
Resources for drafting supervisory procedures or responding to a regulatory exam? Yes, please. Complimentary guides are available at https://t.co/5naLduLckJ.
My law firm turned 2! Words cannot adequately convey my gratitude to my clients and my colleagues for their support. I suppose "Thank you" will have to do for now.
Because broker-dealers, RIAs and their associates want to spend their time on their clients, not their regulators.