Category Archives: Compliance

Column: “Both Costly and Ineffective?” – As seen on

On February 14, 2014, ran Patrick Mahoney’s editorial, Both Costly and Ineffective?, as part of his periodic column, The Legal Rep.  A link to the article is available HERE.   This week FINRA’s Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to “include a readily apparent reference and link […]

A Perfect Storm- The misperceived safety of fixed income markets and bond funds

Ben Bernanke’s recent statements that the end of the $85 billion per month spigot of cash that the Fed is contributing to the bond market is near, has sent bond and equity markets to some of their most volatile levels since the Credit Crisis.  Indeed, long term interest rates endured a 100 basis point increase […]