The tagline—“If SEC, FINRA or state regulatory agencies ever keep you up at night, this blog’s for you”—spells out the informative mission of the blog, “Compliance Corner,” to provide compliance tips, legal summaries and information about best practices.
The blog tracks changes in federal and state regulation, as well as litigation and enforcement developments. Recent posts cover topics such as new SEC exam-related guidance and FINRA’s proposed rule changes to expand the scope of simplified arbitration.
“Our goal is to anticipate our clients’ compliance questions and help ease the headaches that regulatory changes can cause,” said Shane B. Hansen, co-chair of the law firm.
read or subscribe to the blog, visithttp://compliancecorner.wnj.com/