Stephany McLaughlin, along with Howard Suskin, Retired Judge David Coar and Retired Judge Allen Goldberg gave a presentation at the Chicago Bar Association discussing Arbitration both from policy and practical perspectives at the Chicago Bar Association.
2014 brought a new era of securities regulation, with the changing of the guard at the Securities and Exchange Commission (“SEC”) during 2013, and the appointment of Mary Jo White as Chair. Th e SEC made clear that 2014, the year of the organization’s 80th anniversary, would feature stricter enforcement, increased examinations and a continued focus on creating and implementing cultures of compliance and disclosure throughout the industry. Th e Financial Industry Regulatory Authority, Inc. (“FINRA”), a self-regulatory organization (“SRO”) regulated by the SEC, similarly promulgated guidance refl ecting a focus on compliance, supervision and disclosure. James Eccleston and Christine Goodrich of Eccleston Law, LLC detail the regulatory changes and guidance issuesd by FINRA and the SEC.
James Eccleston and Christine Goodrich delivered a presentation on 12/16/14 to attorneys at the Chicago Bar Association. Their topic, “Potential Implications of a Uniform Fiduciary Standard” draws on their work published last year in the journal, Practical Compliance & Risk Management For the Securities Industry, which is attached here. They are writing again this year for the journal. Their work will be published in early 2015.
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WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.
The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.
B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid concerns raised by short sellers regarding its association with a former business partner.
