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...
Search
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...
81 views0 comments
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...
55 views0 comments
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...
73 views0 comments
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...
21 views0 comments
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...
37 views0 comments
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,...
30 views0 comments
eswayze
- Jan 28, 2020
- 1 min
Swayze announces new website!
What do dogs have to do with compliance?
127 views0 comments