Proposed New Rule for Outside Business Activities and Private Securities Transactions

Lacey Miller March 11, 2018

FINRA

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SEC Fines Adviser for Custody Rule Violations

Lacey Miller March 11, 2018

The

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Longtime Merrill Lynch Rep Faces Prison for Overcharging Clients

Lacey Miller March 10, 2018

Thomas

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SEC Will Not Impose Civil Penalties on Advisers Who Self-Report Their Failure to Disclose Conflict of Interests Related to Share Class Selection

Lacey Miller February 18, 2018

The

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Will the SEC Shut Down During a Government Shutdown?

Lacey Miller January 21, 2018

The

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SEC Files Legal Complaint Against Adviser for Misappropriating Client Funds

Lacey Miller October 15, 2017

Near

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IRA Rollover traps under new DOL Fiduciary Rule?

Lacey Miller August 19, 2017

IRA

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Investment Adviser Ordered to Pay More Than 3 Million For Violations of the Investment Advisers Act of 1940

Lacey Miller August 17, 2017

The

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SEC Sanctions Dually-Registered Investment Adviser and Broker Dealer

Lacey Miller July 30, 2017

KMS

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Investment Advisers and Registration

Lacey Miller August 20, 2016

Most

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FINRA Exam Priorities

Lacey Miller January 15, 2013

It’s

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