I’m not thinking about compliance today. When this story gets posted I’ll be somewhere on the road between Hillsdale, New York and Sturbridge, Massachusetts. I’m with a dozen members of my Pan-Mass Challenge team and a few dozen other hearty souls who have added on a pre-ride we call Day Zero. The first official day […]
It’s early round up this week. I’m taking Friday off to ride additional day before the Pan-Mass Challenge.http://profile.pmc.org/DC0176 In the meantime, these are some of the compliance-related stories that recently caught my attention. People, please stop making these two insider trading-related mistakes! by Bruce Carton in Compliance Week There are two insider trading-related “mistakes” that I have […]
The world got a little less interesting now that this big, bold, brash guy has left it. I have not posted in Compliance Building while I’ve been trying to deal with this loss. My best friend, Jeff Levine, was diagnosed with cancer just before Thanksgiving. He lost his battle against the disease last week. Jeff […]
While marathon runners were sleeping in anticipation of the race on Patriots Day, I joined hundreds of cyclists to bike the 26.2 miles in the middle of the night. The Midnight Marathon Bike Ride was back for its seventh year in a row. Short of actually running, I thought it was a great way to […]
That’s me, bundled up for my first bike ride of 2015 on Saturday. I was going to ride first thing in the morning, but shied away when I saw a 9 degree reading on the thermometer. I waited for the balmy afternoon temperature of 22 degrees before enduring a 15 mile ride. Why ride? I’m […]
Dodd-Frank’ed Real Estate
Most Popular Stories
- Qualified Purchasers under the Investment Company Act
- What is a Security? Is Real Estate a Security?
- Private Equity Real Estate Top 50 – 2014 Edition of Who Is Registered
- Private Fund Exemptions under the Investment Company Act
- Private Equity Real Estate Top 50 – 2015 Edition of Who is Registered
- SEC Exam Document Request Examples
- Real Estate Funds and the Investment Company Act
- Is a Note a Security?
- Social Media Policies Database