Rhett Owens

Rhett Owens

Burr & Forman

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Notes from SEC Chair Mary Jo White’s Speech at SEC Speaks 2015

On February 20, 2015, Chairwoman of the United States Securities and Exchange Commission (“SEC”), Mary Jo White, spoke at the 2015 SEC Speaks Conference in Washington, D.C. During her speech, Chairwoman White addressed a...more

3/4/2015 - Mary Jo White Regulatory Agenda SEC Security-Based Swaps Strategic Enforcement Plan

Reverse Churning: Don't Fall Asleep at the Wheel

It is obvious that broker-dealers and their registered representatives, and investment advisors, must be careful in making recommendations to clients. But the recent increase in regulatory interest relating to inaction in a...more

7/11/2014 - Broker-Dealer Fiduciary Duty FINRA Investment Adviser Reverse Churning SEC

Reverse Churning

It is obvious that broker-dealers and their registered representatives, as well as investment advisors, must be careful in making recommendations to their clients. But the rise of claims related to inaction in a client...more

7/3/2014 - Broker Commissions Broker-Dealer Churning Fiduciary Duty FINRA Investment Adviser OCIE SEC Securities Transaction Fees

3 Results
|
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×