Anti-Money Laundering Rule for Advisors May Be Revived: SEC Roundup
By Nick Morgan and Tom ZaccaroLaurel Rimon and Braddock Stevenson, formerly of the CFPB and FinCEN, discussed whether the AML plan will resurface.
April 08, 2022
Don't Make These Costly D&O Insurance Mistakes: SEC RoundupAmy Jeter and Chris Crawford explain what to consider as the SEC proposes changes to insider trading plan requirements.
March 25, 2022
Ex-SEC Commissioner Paredes on Regulating Crypto: SEC RoundupTroy Paredes discusses what's next in digital assets regulation with hosts Nick Morgan and Tom Zaccaro.
March 09, 2022
SEC Whistleblower Architect on the Problem With Frivolous Tips: SEC RoundupIn this episode, Jordan Thomas weighs in on what, if anything, should be done about frivolous tips.
February 22, 2022
SEC's 'Accredited Investor' Update Could Bring Unintended Consequences — SEC RoundupLawyers Nick Morgan and Tom Zaccaro talk to Brittany Davis of Backstage Capital about how the change could affect investors.
February 10, 2022
Should the SEC Ban Payment for Order Flow? — SEC RoundupLawyers expect "some activity by the SEC in 2022" on this issue, Nick Morgan says in this video.
December 23, 2021
The Do's and Don'ts of Advisor MarketingMeghan McCartan, head of marketing for Hightower Advisors, breaks down the best practices with April Rudin, head of the Rudin Group.
February 22, 2021
Human Capital: Skip Schweiss on Reshaping FPA's Value PropositionIn this episode, FPA President Skip Schweiss talks about how to boost the organization's membership.