Recent Articles

Notes on a conversation with Susan Schroeder, Head of FINRA's Enforcement Division
Susan Shroeder, recently appointed head of FINRA's Enforcement Division, addressed a group of broker-dealer lawyers, at my invitation. Her "unofficial" remarks reflect the FINRA Enforcement operations and practices, and where she sees it going.
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FINRA and the Private Placement Market

A Tale of How Successfully Raising Capital Leads to Bankruptcy

New FINRA Know Your Customer and Suitability Rules Require Brokerage Changes

A User Friendly Primer on the JOBS Act For the Business Person and the Capital Raiser

Killing Dead Flies with a Sledgehammer

The SEC: Killing Dead Flies With a Sledge Hammer (New York Law Journal)

SEC turns to data analysis to draw out offending advisers

The May 6 Flash Crash

Presentations

Senior Investors: What You Need to Know (January 2018)
Regulators are now paying increased attention to regulating senior investors' accounts. I recently presented a webinar that summarizes the applicable SEC and FINRA rules for handling accounts of senior customers.
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Social Media Compliance in the Financial Services Industry (7/26/17)

Regulators Impose Higher Duty on Financial Providers (7/16/16)

SEC on Market Structure: The Chair Speaks and Enforcement Acts (6/18/14)

Webinar on FINRA Know Your Customer and Suitability Rules (5/15/14)