New Blog

I have started a new Blog devoted to the developing crowdfunding industry. With the passage of the JOBS Act this once controversial concept has become a reality. Please add Crowdfunding LawBlog to your follow list. I will continue to focus on broker-dealers, investment advisers and funds on this blog.

FINRA Fails to Furnish Complete and Accurate Records

This headline flashed across my computer screen a few days ago in an e-mail.               SEC orders FINRA to improve compliance policies and procedures The SEC order arises from a whistleblower complaint.  Prior to submitting records to the SEC, the regional director of the FINRA Kansas City office had minutes of the district office staff […]