[Podcast] Top 5 Takeaways from New Jersey’s 2023 Pay-to-Play Reform
Pay to Play Risk is High due to New Jersey 2021 Elections: Reduce your risk now!
Venture Capital Trends: East Meets West – Lewis Geffen, Co-chair, Venture Capital Practice
The Securities and Exchange Commission’s (“SEC”) National Examination Program is designed to improve compliance, prevent fraud, monitor risk and inform policy. It is also a consistent source of referrals to the SEC’s Division...more
With heightened attention to investment and depository rules as well as increased enforcement of federal and state pay-to-play rules, registered investment advisers (RIAs) and broker-dealers should address the unique legal...more