Author: T. Gorman

On June 30, 2020 two new Commission regulations went into effect. One was Regulation Best Interest, a rule born of long battles, designed to raise the standard for brokers giving clients investment advice. The other is Form CRS, designed to …

Reg BI and Form CRS – Key OCIE Inspection Targets Read More »

The revolution appears to have ended. Crypto burst on the scene with a “get-off-the-grid” message that appealed to many. The message moved forward with many adopting the new crypto coins. As the revolution moved forward SEC Chairman Clayton invoked Stanley …

Telegram’s Settlement: Has the Revolution Come to an End? Read More »

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