42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC Roundup
By Nick Morgan and Tom ZaccaroA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
March 10, 2023
Custody Rule Plan Changes Are 'Mind Boggling': SEC RoundupThe proposed Safeguarding Client Assets rule would require enormous operational changes, says IAA's Gail Bernstein.
February 24, 2023
Is the Sweep of Advisors' Texting Legal? — SEC RoundupThe SEC is treating advisors like they're subject to BD requirements, says Jennifer Han of the Managed Funds Association.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
January 23, 2023
March CAT Deadline Raises Investor Privacy Alarm: SEC RoundupKen Bentsen and Ellen Greene of SIFMA discuss how the SEC can protect investor privacy now.
January 11, 2023
Women in Wealth (Video)Allison Daniels, a Partner with Marcus, Inman & Daniels Wealth Advisors, offers her insights into building an independent business with Wells Fargo…
January 11, 2023
Independent Broker Dealer (Video)Michael Cowan, Managing Principal at Gardens Wealth Management, details how his practice has leveraged the resources available through Wells Fargo Advisors…