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.
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
