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Before You Hit Send On That RFP Response - A Few Quick Legal Tips for Responding to Requests for Proposals (RFPs)

November 28 2017 As many professionals and business owners are well aware, there is often a tension between what is best from a business development perspective and…

The New 20% Pass-Through Deduction of the Tax Cuts and Jobs Act - Impact of Choice of Entity Decision and Business Owner’s Income

February 8 2018 One of the most talked about items in the newly passed Tax Cuts and Jobs Act is the deduction available to owners of pass-through entities under Code…

What Not To Wear (Or Do) At Your FINRA OTR

March 20 2018 I recently sat in on a panel of senior attorneys from FINRA Enforcement and while they did not actually discuss wardrobe selection, they did give some…

The Tax Cuts and Jobs Act of 2017

December 22 2017 Congress has passed and the President is expected to sign the Tax Cuts and Jobs Act of 2017, the Republican tax reform bill. This alert summarizes…

President Obama Signs Prohibition on Form Contract “Non-Disparagement Clauses”

December 30 2016 On December 14, 2016, President Obama signed the Consumer Review Fairness Act of 2016. This Act voids "non-disparagement clauses" in form contracts…

The Real Lesson From FINRA’s 2018 Exam Findings Report

December 11 2018 On Friday last week, FINRA released a report discussing the findings from its 2018 exams, providing what it described as “selected observations” that…

Ohio Supreme Court Clarifies the Definition of “Participating in or Aiding” Securities Fraud

November 7 2018 In a recent landmark decision, the Ohio Supreme Court declared that R.C. 1707.43 does not impose joint and several liability on a custodian of a…

Money Talks, And FINRA Is Listening

November 5 2018 Last year I wrote about FINRA’s effort to encourage firms to self-report their problems, pausing to wonder at the suggestion attributed to Jessica…

All’s Fair When It Comes To Arbitrator Ranking

October 30 2018 I just read an article about a research study conducted of FINRA arbitrations by three people associated with Harvard, Stanford, and the University of…

Department of Homeland Security Announces Proposed Rule Redefining the Term “Public Charge”

October 3 2018 The Department of Homeland Security (DHS) has posted on its website the text of its much-anticipated proposed rule redefining the term “public charge…