News & Views
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CFI Professional Insights Series: Featuring Sue Light, Partner, Financial Markets & Funds, Katten Muchin Rosenman LLP
- August 3, 2022
- Posted by: giawatkins
- Category: Professional Insights
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Sue Light started out as a prosecutor in the Bronx District Attorney’s office, which was the perfect training ground for her 30-year career as a senior leader and regulatory officer inside both the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). Currently, as a partner at Katten Muchin Rosenman LLP, Sue
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SEC Cites Reg BI in Civil Regulatory Action Filed Against Brokerage Firm for Sales of Complex Securities to Retail Investors
- July 21, 2022
- Posted by: giawatkins
- Category: SEC
Recently, Reg BI was cited in a news release regarding a civil regulatory action filed by the SEC against a brokerage firm for sales of complex securities to retail investors (“SEC Complaint”). This represents the first time that a Regulatory Enforcement Complaint specifically referenced Reg BI. In turn, a private action was recently filed on the
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CFI Professional Insights Series: Featuring Richard Szuch, Enforcement Chief for the New Jersey Bureau of Securities
- March 2, 2022
- Posted by: giawatkins
- Category: Professional Insights
As Enforcement Chief for the New Jersey Bureau of Securities, Richard Szuch oversees a department dedicated to protection of New Jersey investors and markets through enforcement of securities laws. His broad range of experience includes more than 25 years in private practice at two respected firms.
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CFI Managing Director, Eric Siber, Interviewed by Brad Wales on the Proper Way to Move a Book of Clients, Under The Protocol for Broker Recruiting
- January 24, 2022
- Posted by: giawatkins
- Category: Broker Protocol
Brad Wales, Host of the Transition to RIA podcast, recently interviewed CFI’s Managing Director, Eric Siber, on the proper way to move a book of clients, under The Protocol for Broker Recruiting. As the industry’s Administrator of The Broker Protocol, we can provide your firm with expertise in Protocol related litigation matters. Watch the interview
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CFI Managing Directors Provide Guidance on the SEC’s new Marketing Rule 2021
- December 8, 2021
- Posted by: giawatkins
- Category: SEC
The SEC’s new Marketing Rule 2021 is a game changer that all financial professionals need to understand. CFI Managing Directors John Ivan and Andrew Lippman, together with Richard Chen, recently provided an overview of 5 key areas of the new rule. Listen to this informative Sara Grillo podcast here: https://saragrillo.com/2021/04/12/new-sec-marketing-rule-2021-5-parts-to-be-aware-of
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The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations.
- November 22, 2021
- Posted by: giawatkins
- Category: SEC
The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations. The notice is expressly described as a follow-up to its 2018 Risk Alert. It highlights the importance of this topic with citations and guidance resulting from the focused examination of 130 firms referenced as the Advisory Fee Initiative. The key warning to advisers is
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SEC Continues Revenue Share Conflict Enforcement Priority – Cash Sweeps
- August 9, 2021
- Posted by: giawatkins
- Category: SEC
As predicted in its 2021 Priorities Letter, the SEC has recently brought several enforcement actions against RIAs for failure to disclose conflicts involved in revenue sharing. In one case, the SEC alleged that the dual registrant RIA failed to disclose the conflicts involved in selecting cash sweep options offered through its Clearing Firm’s platform. According
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CFI Professional Insights Series: Featuring Susan M. Boudrot, Compliance Professional and Consultant
- July 22, 2021
- Posted by: giawatkins
- Categories: CFI News, Professional Insights
Susan Boudrot is currently President of Susan M. Boudrot Consulting LLC. She was formerly the Global CCO of TD Ameritrade. Prior to TD Ameritrade, she ran her own successful consulting practice. She previously was CCO of Fidelity Personal & Workplace Investments, Vice President in Compliance at Charles Schwab, CCO and General Counsel at Brown &
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Replay of Advanced Techniques for Virtual Hearings Webinar
- April 13, 2021
- Posted by: giawatkins
- Category: Webinar
If you were unable to join the nearly 200 professionals who registered to attend this important webinar live on April 7th, you can still benefit from the insights and guidance of Advanced Techniques for Virtual Hearings, which featured panelists who possess extensive experience in virtual FINRA hearings. As we return to a more “normal”
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CFI Professional Insights Series: Featuring Chris Lewis from Edward Jones
- March 15, 2021
- Posted by: giawatkins
- Category: Professional Insights
Chris Lewis is a Principal and General Counsel at Edward Jones, where he is responsible for leading all associates who provide legal support to the firm and for Compliance and Government Relations. Chris joined Edward Jones in 2007 as a Principal and Deputy General Counsel in the Legal division. He was named as the firm’s
