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News And Publications - Client Alerts, Page 3

01
Nov
2010

November 2010 - SEC Adopts New Rule

Published: November 1, 2010 Listed In: Client Alerts

On November 3, 2010, the Securities and Exchange Commission (SEC) voted unanimously to adopt a new rule requiring broker-dealers to implement risk controls before they provide customers with electronic access to the equities markets.

01
Sep
2010

September 2010 - Advisors Beware of

Published: September 1, 2010 Listed In: Client Alerts

By July 21, 2011 - the one-year anniversary of the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act - investment advisors with less than $100 million in assets under management will be required to register with the states.

01
Jul
2010

July 2010 - Dodd-Frank

Published: July 1, 2010 Listed In: Client Alerts

The Dodd-Frank Act actually affects multiple industries and legislation, containing numerous amendments to existing laws and creating several new laws as well.

03
May
2010

May 2010 - Broker Beware...

Published: May 3, 2010 Listed In: Client Alerts

Even before the economic turmoil of the last two years, private placements were a principal source of funding for small and mid-sized businesses.

01
Jan
2010

January 2010 - FINRA's Guide to Social Media

Published: January 1, 2010 Listed In: Client Alerts

Studies show that businesses have also increasingly turned to these social media outlets to communicate with customers, advertise and conduct business.