In the Media

Financial Advisor (November 8, 2021) - Groups representing investor attorneys are throwing their support behind a proposal rule that would allow state securities regulators to expel or suspend…
Think Advisor (November 5, 2021) - What You Need to Know: While there has been incremental progress in Reg BI compliance, broker-dealers still are not abiding by the Reg BI rule now in effect,…
Think Advisor (November 3, 2021) - What You Need to Know Michael Edmiston, a securities attorney with Jonathan W. Evans & Associates, will serve a one-year term. Form CRS should require…
Wealth Management (November 2, 2021) - Melanie Senter Lubin is Maryland Securities Commissioner, President of the North American Securities Administrators Association All years tend to be busy years…