Resources
I've been writing about securities regulation for years — sometimes with citations, sometimes with asides. Take what's useful. They're free, and there's no email gate.
Forty-two things I wish someone had told me on day one of running a broker-dealer. With footnotes. And at least one Douglas Adams reference per chapter.
Written Supervisory Procedures that regulators — and your staff — can actually read. Includes a checklist for the next cycle exam.
Consolidated Audit Trail reporting without losing your weekend — or your sanity. For firms that want a working program, not a binder.
Open-source thinking on broker-dealer formation, with the boring parts marked. Useful if you're considering starting a firm.
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