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Biz Law Blog

September 2, 2021
Which Side Are You On? Municipal Broker/Dealer Takes Both Sides
August 12, 2021
Collateral Damage: SEC Sanctions “Varsity Blues” Parent
May 20, 2021
Too Much Bother: Broker/Dealer Affiliate of An Insurer Catering to Retirement Plans
May 11, 2021
Friends and Family Fraud: LLC Does It
April 20, 2021
Red Flags and SARs: The SEC Warns Broker/Dealers on AML
February 9, 2021
Inciting to Rupture: Keith Gill and the GameStop Surge
February 4, 2021
Tracking Treasury Trading: The Fed to Collect the TRACEs
January 14, 2021
Taming the Elephants: SEC Jumbo Trader Risk Alert
December 15, 2020
When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance
December 8, 2020
Meeting Specified Standards: the SEC’s OCIE Assesses Compliance
November 19, 2020
Credential Stuffing: Cyber Intrusions Into Client Accounts of Broker/Dealers and Investment Advisors
November 5, 2020
The European Stock Markets: Still at Sixes and Sevens
September 8, 2020
SEC Seeks to Increase the Security of the Data on the Consolidated Audit Trail National Market System
July 16, 2019
Research Reports by Broker/Dealers – FINRA Catches Up
March 8, 2019
Broker/Dealer Research Reports – Mutual Funds, ETFs, and Business Development Companies

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