Publications

Understanding FINRA’s Suitability Rules: Possible Enforcement Actions

July 11, 2012 On Wall Street

Understanding FINRA’s New Rules: Knowing-Your-Customer and Practical Considerations on Suitability

July 10, 2012 On Wall Street

Ready or Not, Here Comes FINRA’s New Rules on Suitability

July 9, 2012 On Wall Street

Getting to Know You: Getting to Know All About FINRA’s New Suitability & Know-Your-Customer Rules

April 2012 The Wall Street Lawyer

Supervising Reps’ Outside Activities

February 7, 2011 Reprinted with permission of Compliance Reporter

FINRA Restricts Internal Use Only Rules Through Enforcement Actions

October 2010 Reprinted with permission Market Solutions, a publication of the Financial Markets Association

The Resurgence Of Collective Investment Trusts

June 15, 2010 Reprinted with permission Law360, http://www.law360.com//

FINRA's Take On Internal Communications

February 18, 2010 Reprinted with permission Securities Law360, http://www.law360.com

The Madoff scandal: practical compliance considerations for advisers

January 15, 2009 Reprinted with permissions Complinet

For The New Year, Proposed Resolutions For FINRA

January 11, 2009 Investment News

Getting credit from FINRA for extraordinary cooperation: what does it all mean?

December 17, 2008 Reprinted with permission Complinet

August Independent Broker-Dealer Regulatory Round-Up

August 2007

Independent Broker-Dealer Regulatory Round Up

May 10, 2007

Tips for the Newlywed Regulators

March 12, 2007 Reprinted with permission, The National Law Journal

Practical pointers for regulatory examinations

August 21, 2006 Reprinted with permission, Investment News