March 2024 Publications
Ethics for Advisers: Compliance with Fiduciary Standards - Spotlight on Code of Ethics Requirements
Materials for Investment Adviser Association 2024 Compliance Conference
December 4, 2023 Reports and White Papers
Summary & Comparison Chart: NASAA Proposed Broker-Dealer Model Rule and SEC Regulation Best Interest
Appendix to Comment Letter by the Securities Industry and Financial Markets Association (SIFMA)
2022 Publications
No-Poach, No Precedent: How the DOJ’s Aggressive Stance on Criminalizing Labor Market Agreements Violates Antitrust Jurisprudence
Missouri Law Review