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Announcement

Please Join Us at the 49th Annual Rocky Mountain Securities Conference

| December 20, 2018 | Announcement

We cordially invite you to attend the 49th Annual Rocky Mountain Securities Conference at the Denver Marriott City Center on May 5, 2017. This year’s event promises to be information-packed and very educational!  Speakers include Joseph K. Brenner, Chief Counsel, Enforcement Division, SEC, C. Dabney O’Riordan, Co-Chief, Asset Management Unit, Enforcement Division, SEC, Robert A. Cohen,… Read more »

Sec Adopts T+2 Settlement Cycle For Securities Transactions

| December 17, 2018 | Announcement

Date:                March 27, 2017 From:               Reid A. Godbolt, Esq. The Securities and Exchange Commission (“SEC”) on March 22, 2017, adopted an amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions. As you probably know, the standard settlement cycle… Read more »