March 12, 2024 Advisory
DOL Fiduciary Rule Expected This Spring
March 2024 Publications
Ethics for Advisers: Compliance with Fiduciary Standards - Spotlight on Code of Ethics Requirements
Materials for Investment Adviser Association 2024 Compliance Conference
January 30, 2024 Reports and White Papers
Recommendations to the SEC to Modify its Procedural Framework to Prevent Regulation by Enforcement
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)
September 20, 2023 Advisory
SEC Extends Whistleblower Protection Rules to Private Business Use of Employee Confidentiality Agreements
September 2023 Publications
Fiduciary Obligations for Identifying, Managing, and Disclosing Conflicts of Interest
Materials for Investment Adviser Association 2023 Compliance Workshops
2020 Publications
What The Biden-Harris Win Means For Securities Regulation
Law 360
2019 Publications
Securities Regulation
State Attorneys General Powers and Responsibilities, 4th ed.