March 16, 2026 Advisory
February 11, 2026 Advisory
January 23, 2026 Publications
5 Compliance Takeaways From FINRA's Oversight Report
Law360
December 2, 2025 Advisory
September 12, 2025 Advisory
May 2025 Publications
New Era At The SEC: Key Priorities Under Chair Paul Atkins
LexisNexis Mealey’s Securities, Vol. 23, #11
May 2, 2025 Advisory
April 28, 2025 Advisory
February 2025 CLE Outline
SEC Examinations: Hot Topics and How to Prepare
Materials for Investment Adviser Association 2025 Compliance Conference
January 2025 CLE Outline
How Should You Care? Overlapping Standards of Care
Materials for SIFMA Compliance & Legal Society 2025 Annual Seminar
June 2024 CLE Outline
Handle with Care: Evolving Standards of Care
Materials for SIFMA Compliance & Legal Society 2024 St. Louis Regional Seminar
March 2024 CLE Outline
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









