Briggs Securities Attorney on Business Entertainment, Regulatory Response

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October 1, 2007

Featured in the September/October 2007 issue of the National Society of Compliance Professional's (NSCP) newsletter, Currents, attorney David E. Rosedahl authors "How Playboy Bunnies and a Velcro-Covered Dwarf are Changing Business Entertainment - It's Not What You Think."

Rosedahl examines how extravagant business entertainment has had major regulatory implications for individuals and firms, especially in the case of one brokerage firm and its clients. In addition to imposing severe sanctions, FINRA and the NYSE proposed new regulations to address improper entertainment practices.

Rosedahl has authored a number of articles for NSCP, including "New Oversight Obligations" (2004) and "New Oversight Obligations II: Seeking Clarity"  (2005). To read this most recent article on business entertainment, click here.