Latest posts by Marianna Shafir Esq. (see all)
- SEC Risk Alert for Most Common Compliance Violations by Brokers and Investment Advisors - September 16, 2019
- Regulatory Update: Brokers Face Personal Liability - August 15, 2019
- Connected Suite Spotlight Series – Now We’re Supervising!
Workflows and Review Queues - July 31, 2019