The Shaw Law Group

06/27/2023

https://www.linkedin.com/posts/the-shaw-law-group_regulation-best-interest-activity-7079471271289217024-8Y3j?utm_source=share&utm_medium=member_desktop
Three years after Reg BI, enforcement actions are ramping up.

Three years after Reg BI, enforcement actions are ramping up

04/28/2023

Please join me on Wednesday, May 17, 8:30 to 10:30 am, at the 2023 Mental Health Symposium hosted by Lead4Life, Inc. The event will be held at the MD Innovation Center, 6751 Columbia Gateway Dr., Columbia, MD 21046. The focus of the symposium is how Maryland’s new cannabis legislation will impact employers and those with mental health challenges. Lead4Life, Inc., was founded in 2008 as a non-profit organization whose mission is to reduce the number of youth and young adults entering the juvenile justice system. I hope to see you on May 17. \Michael Shaw

Save the Date! Lead4Life's 2023 Mental Health Symposium is coming up on May 17th. Beginning in July, Maryland will allow the use of cannabis on a recreational level. We know that cannabis use has been shown to dramatically help those facing mental health issues. How will this new legislation impact employers and employees? Come listen to our keynote and expert panel to gain more knowledge. Sponsorship opportunities available. Register for FREE today by clicking the link below:
https://www.eventbrite.com/e/lead4life-2023-mental-health-symposium-tickets-560737219117

03/06/2020

If you work in the financial services business, you may want to read this article.

http://www.nilesbarton.com/Baltimore_Business_Review_2020.pdf

The Baltimore Business Review was produced jointly by the CFA Society Baltimore and the Towson University College of Business and Economics. Michael P. Shaw, Esq., a Partner at Niles, Barton & Wilmer LLP and board member of CFA Society Baltimore, authored the article, "Regulation Best Interest: Higher Standards for Broker-Dealers, Strengthened Protections for Investors", which appears on page 4.

http://www.nilesbarton.com/Baltimore_Business_Review_2020.pdf

03/09/2017

Most people don't plan to fail. They fail to plan. - John L. Beckley

03/06/2017

Looking for cybersecurity tips for financial services firms? Try these, from Compliance Week: http://bit.ly/2kAFzsv

The SEC has expanded considerably its efforts relating to cyber-security, beefing up its regulatory examinations with targeted sweeps for cyber-security, as well as maintaining an active cyber-security enforcement program.

03/02/2017

ICYMI: This article, The Challenge of Complying with Multiple and Differing Fiduciary Rules, holds true today. http://bit.ly/2kIwGzH

02/28/2017

How, exactly, does a financial planner get to the top? Hint: financial planning skills are not enough. http://bit.ly/1fZWADq

The best advisors love what they do for a living, but they also know what to do to get to the top. This shared advice can help you get there, as well.

02/25/2017

FINRA Chief to Industry: I Hear You http://bit.ly/2kXYrmt

Robert Cook vowed Monday that the regulator will do a better job of listening to the brokerage industry’s feedback.

02/22/2017

Did your (former) broker-dealer publish a U5 that resulted in a ping on your CRD? FINRA arbitration provides a way to get the U5 expunged. We've helped clients do just that. This Investment News article explains how. http://bit.ly/2jjnfmp

Given the current regulatory environment and increasing utilization of BrokerCheck by the public, a broker must take ownership of his or her CRD.

02/21/2017

Looking For New Clients For Your Financial Advisory Practice? Ignore This 24% Segment Of Workers. http://bit.ly/2kMIHBY

Want to know your potential clients' concerns? Of course you do. That's step No. 1 in signing them.

02/17/2017

[ICYMI: FINRA PRIORITIES] High-risk brokers, senior investors and cybersecurity make the list of FINRA priorities for 2017. Are you ready? http://bit.ly/2km1T8s

As the football season was winding down, on January 4, 2017, the Financial Industry Regulatory Authority (FINRA) published its 2017 Annual Regulatory and Examination Priorities Letter.1 According to FINRA President and CEO, Robert Cook, this year’s 11-page letter focuses on “core ‘...

02/14/2017

Take heart! Hiring brokers with a history and protecting consumers are not mutually exclusive. http://bit.ly/2lFHtJk

Like it has in the past, FINRA is sharply focused on examining brokers with a disciplinary past, including the indentification and examination of such brokers being placed at the top of its 2017 exam priorities. United States Corporate/Commercial Law Fox Rothschild LLP 30 Jan 2017