Blog | SWAYZE Compliance Consulting

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Mar 22
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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New York Based IAR’s Must Begin Registering

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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Increased SEC Scrutiny on Exchange Traded Products

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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COVID-19: Finding Us & What the SEC is Doing

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,...

22 views0 comments

eswayze

Jan 28, 2020
1 min

Swayze announces new website!

What do dogs have to do with compliance?

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