Team Swayze welcomes our newest member! Lisa LaFond started this week. Are some of you thinking, “Hmm, why does that name sound...

You may have heard or read about the new administration’s SEC focusing on ESG: Environmental, Social and Governance. The SEC recently...

Last week, the New York Attorney General James announced the passage of new rules that will require investment adviser representatives...

Part 1: Inverse & Leveraged ETF’s Last week the Securities and Exchange Commission announced that it had reached settlement with multiple...

You 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...

How to Find Us During this unprecedented time, we at Swayze LLC remain fully functional and able to serve your compliance needs. All...

The unfortunate reality of coronavirus (COVID-19) is that the effects are not only impacting our supply of toilet paper for some reason,...

What do dogs have to do with compliance?