2000 Compliance Financial Services License 
The Big Picture
APRIL 25, 2023
Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.
The Big Picture
SEPTEMBER 5, 2023
The focus seems to be on other institutions that create employment like healthcare, medical, tech, medical type services. There’s been a lot of emphasis on sort of competing with New York, bringing financial services there. And the reason why I say that is, in 2000, January 1st of 2018, the federal SALT tax was initiated.
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