Regulatory Issues (SEC, FINRA)

The federal government is not known for keeping up with newer technologies. However, texting and other forms of electronic communication have been around long enough that there are plenty of regulations in place to address the potential that confidential client...

Back in December 2022, the Securities and Exchange Commission (SEC) adopted amendments to Rule 10b5-1. This is the SEC regulation that governs the use of pre-arranged trading plans by corporate insiders, such as company directors and officers. The new amendments, in...