Insights John Quinn 12/3/24 John Quinn 12/3/24 Detailing Important Examination Priorities For RIC's in 2025 Read More John Quinn 11/26/24 John Quinn 11/26/24 Outlining The SEC's Examination Priorities for Broker-Dealers in 2025 Read More John Quinn 10/29/24 John Quinn 10/29/24 Reviewing The SEC's Examination Priorities for 2025 Read More John Quinn 10/21/24 John Quinn 10/21/24 Recapping The NASAA 2023-24 State-Registered Investment Advisers Report Read More John Quinn 10/14/24 John Quinn 10/14/24 New SEC Proposed Rule on Safeguarding Advisory Client Assets Read More John Quinn 10/7/24 John Quinn 10/7/24 What You Need to Know About The SEC’s Privacy Act Updates Read More John Quinn 10/1/24 John Quinn 10/1/24 New DOL Fiduciary Rule challenged in court by SIFMA and FSI Read More John Quinn 9/16/24 John Quinn 9/16/24 Conflicts of Interest Observed by SEC in 2020 Risk Alert Read More John Quinn 9/9/24 John Quinn 9/9/24 Key Observations From SEC on Marketing Rule Compliance Read More John Quinn 9/2/24 John Quinn 9/2/24 Reviewing Deficiencies Found From SEC in 2020 Risk Alert Read More John Quinn 8/27/24 John Quinn 8/27/24 Reviewing The SEC Marketing Rule Read More John Quinn 8/19/24 John Quinn 8/19/24 SEC Adopts New Regulation S-P Rules Read More John Quinn 8/12/24 John Quinn 8/12/24 NASAA Approves Amendments For Two Model Rules Read More John Quinn 8/5/24 John Quinn 8/5/24 Important Notes on Gurbir Grewal’s Recent Speech Read More John Quinn 7/29/24 John Quinn 7/29/24 Reviewing The 2023 NASAA Enforcement Report Read More
John Quinn 12/3/24 John Quinn 12/3/24 Detailing Important Examination Priorities For RIC's in 2025 Read More
John Quinn 11/26/24 John Quinn 11/26/24 Outlining The SEC's Examination Priorities for Broker-Dealers in 2025 Read More
John Quinn 10/29/24 John Quinn 10/29/24 Reviewing The SEC's Examination Priorities for 2025 Read More
John Quinn 10/21/24 John Quinn 10/21/24 Recapping The NASAA 2023-24 State-Registered Investment Advisers Report Read More
John Quinn 10/14/24 John Quinn 10/14/24 New SEC Proposed Rule on Safeguarding Advisory Client Assets Read More
John Quinn 10/7/24 John Quinn 10/7/24 What You Need to Know About The SEC’s Privacy Act Updates Read More
John Quinn 10/1/24 John Quinn 10/1/24 New DOL Fiduciary Rule challenged in court by SIFMA and FSI Read More
John Quinn 9/16/24 John Quinn 9/16/24 Conflicts of Interest Observed by SEC in 2020 Risk Alert Read More
John Quinn 9/2/24 John Quinn 9/2/24 Reviewing Deficiencies Found From SEC in 2020 Risk Alert Read More
