Resources

Investment Adviser Rep Syndicate

Financial Industries Regulatory Authority

FBI - White-Collar Crime

North American Securities Administrators Association

Federal Criminal Sentencing Guidelines

U.S. Department of Labor

U.S. Commodity Futures Trading Commission

U.S. Securities and Exchange Commission

Securities Industry and Financial Markets Association, Compliance & Legal Division

RIA Biz – News for the RIA Community

Missouri Securities Division

Illinois Securities Division

SIFMA’s Regulatory Action Database – Dodd-Frank WSR and CP Act

Securities Lawyer’s Deskbook

InvestmentNews

Massachusettes Securities Division

SLU Law Clinic

American Bar Association

American Association for Justice

Findlaw.com