Swayze 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...
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Ashleigh C. Swayze, Esq
- Mar 22, 2021
- 1 min
What’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...
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Jordan Green, Esq.
- Dec 10, 2020
- 1 min
New 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...
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Jordan Green, Esq.
- Nov 24, 2020
- 4 min
Increased SEC Scrutiny on Exchange Traded Products
Part 1: Inverse & Leveraged ETF’s Last week the Securities and Exchange Commission announced that it had reached settlement with multiple...
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eswayze
- Oct 15, 2020
- 1 min
Agreements: SEC Exam Focus Item
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...
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eswayze
- Mar 23, 2020
- 1 min
COVID-19: Finding Us & What the SEC is Doing
How to Find Us During this unprecedented time, we at Swayze LLC remain fully functional and able to serve your compliance needs. All...
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eswayze
- Mar 13, 2020
- 2 min
IMPACTS OF COVID–19 ON COMPLIANCE
The unfortunate reality of coronavirus (COVID-19) is that the effects are not only impacting our supply of toilet paper for some reason,...
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eswayze
- Jan 28, 2020
- 1 min
Swayze announces new website!
What do dogs have to do with compliance?
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