March 10, 2020
The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…
best execution Tag
January 25, 2020
The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…
October 17, 2019
Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….
July 12, 2018
On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…
July 12, 2018
On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…
December 14, 2017
On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…