Jordan Green, Esq.6 days ago4 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 151 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 231 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 emp...
eswayzeMar 132 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,...
