eswayzeMay 20, 20211 minSwayze Announces New Team Member Team Swayze welcomes our newest member! Lisa LaFond started this week. Are some of you thinking, “Hmm, why does that name sound...
Ashleigh C. Swayze, EsqMar 22, 20211 minWhat’s this we hear about the SEC and ESG?You may have heard or read about the new administration’s SEC focusing on ESG: Environmental, Social and Governance. The SEC recently...
Jordan Green, Esq.Dec 10, 20201 minNew York Based IAR’s Must Begin Registering Last week, the New York Attorney General James announced the passage of new rules that will require investment adviser representatives...
Jordan Green, Esq.Nov 24, 20204 minIncreased SEC Scrutiny on Exchange Traded ProductsPart 1: Inverse & Leveraged ETF’s Last week the Securities and Exchange Commission announced that it had reached settlement with multiple...
eswayzeOct 15, 20201 minAgreements: SEC Exam Focus ItemYou may be feeling like life is not as it once was; that business is running in a different way than it did before the pandemic. The SEC...
eswayzeMar 23, 20201 minCOVID-19: Finding Us & What the SEC is DoingHow to Find Us During this unprecedented time, we at Swayze LLC remain fully functional and able to serve your compliance needs. All...
eswayzeMar 13, 20202 minIMPACTS OF COVID–19 ON COMPLIANCEThe unfortunate reality of coronavirus (COVID-19) is that the effects are not only impacting our supply of toilet paper for some reason,...