Political Contributions – Managing the Pay to Play Rule

If you live in the United States, it is impossible to avoid the constant chatter about the upcoming Presidential elections. And as the weather warms, the local and state elections are starting to heat up too. It is also a good time for advisors to remind employees of their obligations under MSRB Rule G-37 and… READ MORE

2016 SEC & FINRA Exam Priorities

If you ever want to know what the regulators are focusing on when they conduct examinations, they actually tell you. Last month FINRA and the SEC put out their examination priorities. These priorities can be used to help you understand their focus and give you guidance on how to prioritize your efforts to maintain a… READ MORE