SEC 2016 Exam Priorities

  • Posted by Admin
  • On March 31, 2016
On January 11, the Securities and Exchange Commission announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 “priorities.” During these volatile times in the market, what did the SEC pronounce that directly affects your investment portfolio and protects you against negligent, fraudulent or otherwise reckless brokers? In reviewing the SEC’s “Examination Priorities,” here are […]
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NYSE Rule 48: Destructive Delay or Appropriate Throttle Governor?

  • Posted by Admin
  • On March 24, 2016
On August 24, 2015, the New York Stock Exchange invoked Rule 48 to initiate automatic halts on stocks – – known as “circuit breakers” – – to attempt to slow plummeting stock prices that were occurring in the early hours of trading due to uncertainty over China’s economic woes. Although NYSE Rule 48 was designed […]
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EEOC Announces Nationwide Policy to Release Employers’ Position Statement During Pendency of the EEOC Investigation

  • Posted by Admin
  • On March 17, 2016
Effective January 1, 2016, the Equal Employment Opportunity Commission (“EEOC”) implemented a nationwide policy that it will now release the Employer’s position statement and any non-confidential attachments to the charging Employee during the EEOC’s investigation. Under this new policy, the EEOC also will give the employee an opportunity to reply to the Employer’s position statement within […]
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Are You Over-Leveraged in Tech Stocks?

  • Posted by Admin
  • On March 10, 2016
Are You Over-Leveraged in Tech Stocks? It’s no secret that amongst the stock market’s woes this year, the tech stock sell-off has been at the forefront of the conversation. All of the gains the NASDAQ earned since late 2014 have been wiped out, and year-to-date the NASDAQ Composite index is down 14%, while the “NASDAQ […]
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The Tide Has Gone Out, Have you Been Swimming Naked?

  • Posted by Admin
  • On March 10, 2016
During the global meltdown of 2008, numerous industry experts had many interesting things to say about the market crash, the derivative investments and sub-prime mortgage swaps that caused the crash, and the predictable fear and loathing that blended together to bring the financial markets to their knees. However, of all the things said, perhaps nothing […]
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