What's the Tea in L&E? Supervisor Liability: What Managers Need To Know
Practical Training for Project Managers & Supervisors Two-Part Webinar Series: Part Two
Practical Training for Project Managers & Supervisors Two-Part Webinar Series: Part One
III-40 – Valentine’s Day Episode on Love Contracts
Episode 24: EEOC Commissioner Chai Feldblum Part I: Employers' "Superstar Harassment" Problem
FINRA has provided an update on its targeted exam sweep related to option account opening, supervision, and disclosure (the Update). While the sweep is ongoing, FINRA’s recent release serves as a helpful reminder for...more
The Financial Industry Regulatory Authority issued a regulatory notice clarifying the scope of supervisory liability under FINRA Rule 3110 of a broker-dealer’s chief compliance officer (CCO) (Regulatory Notice). FINRA’s Head...more
As should be clear to readers of this Blog, I find that Enforcement actions often provide the best guidance in terms of what regulators deem to be unacceptable conduct, which is very useful when dealing with subjective...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more
Reflecting increased regulatory willingness to discipline principals and supervisors, FINRA recently announced that it had imposed an industry bar on the former president of a defunct broker-dealer, along with five registered...more
The SEC should put more of its efforts into pursuing regulatory violations, such as failure to supervise, instead of trying to pursue fraud theories on weak facts, according to an SEC Commissioner....more