David Smyth

David Smyth

Brooks Pierce

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Unregistered Brokers: Watch out for Shortcuts

One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can. And why not? It can be lucrative. And if the people raising...more

8/21/2014 - Broker-Dealer Brokers Compliance SEC

The SEC Does Not Care about Your FINRA Document Request

If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. The self-regulatory organization is responsible for overseeing your securities business and even for your outside...more

5/9/2013 - Broker-Dealer Document Requests FINRA SEC

SEC Highlights Compliance and Ethics for Broker-Dealers

On Tuesday the SEC held a National Compliance Outreach Program for Broker-Dealers at an open meeting at its D.C. headquarters. The first panel – titled The Role of Compliance and Ethics – was nominally targeted to...more

4/11/2013 - Broker-Dealer Chief Compliance Officers Compliance Corporate Culture FCPA Risk Management SEC

SEC Ramps Up Its Private Equity Parade

Bruce Karpati, chief of the SEC’s Asset Management Unit, promised us several weeks ago that enforcement actions against private equity firms were about to heat up. He wasn’t kidding. Last Monday, the SEC filed two sets of...more

3/21/2013 - Broker-Dealer General Solicitation Private Equity Ranieri Partners Registration SEC

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