My dog has taught me a few lessons about compliance. (That’s me and Ghost taking a well-deserved nap.) Start early. We started dog training early to focus on developing good habits at an early stage. (We did lose a few shoes while he was a puppy.) It’s never too late to unlearn bad habits, but […]
No, it’s not. “March 1st and March 2nd, NBC Studios will be in Norman B. Leventhal Park to film large crowd scenes for the pilot of their television series “Odyssey”. While filming will only be on the weekends, certain production work will take place during the week. Any set design or props in the Park […]
On behalf of the entire staff of Compliance Building we wish you a very happy holiday season, a merry Christmas, and a compliant new year. Christopher Columbus Park by Igor Motov CC NC BY SA
A winter storm has been hitting big chunks of the United States over the last few days. For me, in Boston, it’s just a small accumulation. That’s enough to cause a nuisance and snarl the morning commute. For me, one test of compliance is snow shoveling. Did my neighbors shovel their sidewalks so people can […]
So, for the first time since 1888 both Thanksgiving AND Hanukkah fall on the same day. Enjoy some time off with friends and family. I am.
Sorry folks. The federal government is closed. The moose out front should’ve told you. Not exactly. The Securities and Exchange Commission is still open and operational. The SEC’s current operational plan in the event of an SEC shutdown is available here (pdf). It’s not clear from reading this what will be operational and what is […]
The September 11 attacks resulted in the deaths of 2,996 people, including the 19 hijackers and 2,977 victims. The victims included 246 on the four planes, 2,606 in New York City in the World Trade Center towers and on the ground, and 125 at the Pentagon. Nearly all of the victims were civilians. 55 military […]
The phrase “dog days” refers to the sultry days of summer, the months of July and August in the Norther Hemisphere. The Romans referred to the dog days as diēs caniculārēs. The Dog Days were the days when the star Sirius rose just before or at the same time as sunrise. They considered Sirius to […]
I was up last night hooked into latest episode of Breaking Bad. Besides it being a great show, it highlights a focus of compliance. How do you prevent your employees from going bad? For those of you who haven’t seen the show, Walter White, a mild-mannered high school chemistry teacher helps ends meet by making […]
The ABA Journal is working on their annual Blawg 100 list. They think it’s a good idea to smash law blog into blawg. Visit the Blawg 100 Amici nomination page and fill in a few boxes. Due date is August 9. The reason for this story is whether to put Compliance Building forward as a […]
- Compliance Bricks and Mortar for March 7
- Compliance Lessons From My Dog
- Create an Introduction for the SEC
- Are Oil and Gas Investments “Securities”?
- Occupy Boston is Back…..
- Compliance Bricks and Mortar for February 28
- Are SEC Employees Profiting from Enforcement Actions?
- SEC Charges Private Equity Fund Manager with Misallocation of Expenses
- The Darth Vader Defense to Insider Trading
- California’s Public Disclosure of Private Fund Investments