DOL Brings Back Impartial Conduct Standards in FAQs, SEC Weighs in on ESG Investing, and FINRA Makes it Even Harder to Hire Reps with Black Marks

May Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

Read more here.

Pun-ishment by SEC and FINRA: Enforcement Actions in March 2021

When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think—causing you to say, “Oh, I see” (which is different from the SEC’s OCIE).

In the latest edition of NCSP Currents, we explore the connection of puns and other plays on words with SEC and FINRA enforcement actions and initiatives.

Read more here.


Brian L.

Andrea L. Gordon,