{"id":1190,"date":"2021-12-09T22:03:16","date_gmt":"2021-12-09T22:03:16","guid":{"rendered":"http:\/\/localhost\/?p=1190"},"modified":"2021-12-09T22:05:03","modified_gmt":"2021-12-09T22:05:03","slug":"a-goldfish-is-the-happiest-animal-a-securities-respondent-is-not-ted-lasso-sec-finra-and-dol-enforcement-actions-october-2021","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/09\/a-goldfish-is-the-happiest-animal-a-securities-respondent-is-not-ted-lasso-sec-finra-and-dol-enforcement-actions-october-2021\/","title":{"rendered":"A Goldfish is the Happiest Animal, A Securities Respondent is Not: Ted Lasso, SEC, FINRA, and DOL Enforcement Actions (October 2021)"},"content":{"rendered":"

From\u00a0Brian Rubin<\/a>\u00a0and\u00a0Ariana Cheng<\/a>\u00a0in this month’s column for NSCP\u00a0Currents<\/em>:<\/p>\n

During the pandemic, we have had a lot of lows, as well as a few highs. And that\u2019s just in pop culture. For example, who could forget the Tiger King? And the Queen\u2019s Gambit? \u00a0We\u2019ve had heroes and villains and everything in between. And we\u2019ve had a streaming show starring a knight in shining armor \u2013 well, a big mustache, an even bigger heart, and strong Southern accent \u2013 providing us with heroes, rules to live by, homespun humor and rules subject to interpretation (see, e.g., \u201coffsides\u201d). No, we\u2019re not talking about securities enforcement and compliance.\u00a0 We\u2019re talking about Ted Lasso, the irrepressible former football coach of the Wichita (Kansas) State Shockers, who ends up coaching the other futbol (a\/k\/a soccer) for AFC Richmond in England\u2019s Premier League.<\/p>\n

Not surprisingly, to anyone who has read our prior compliance and enforcement columns, this month\u2019s NSCP\u00a0Currents\u00a0article is inspired by the ever positive, glass-always-half-full Ted Lasso to provide lessons for securities professionals, as well as lessons for the rest of use on how to live better lives. Or, as Ted would say (and, in fact, did say), \u201cthe harder you work, the luckier you get.\u201d<\/p>\n

Read more here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"

From\u00a0Brian Rubin\u00a0and\u00a0Ariana Cheng\u00a0in this month’s column for NSCP\u00a0Currents: During the pandemic, we have had a lot of lows, as well as a few highs. And that\u2019s just in pop culture. For example, who could forget the Tiger King? And the Queen\u2019s Gambit? \u00a0We\u2019ve had heroes and villains and everything in between. And we\u2019ve had a … Continue reading A Goldfish is the Happiest Animal, A Securities Respondent is Not: Ted Lasso, SEC, FINRA, and DOL Enforcement Actions (October 2021)<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21],"tags":[],"class_list":["post-1190","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t