Regulation Best Interest: What to Know as a Dual Registrant On June 4, 2019, the SEC issued several sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. To curb the abuses... [...] Read more

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2020 Advertising Review Software Challenges & Red Oak Solutions As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain... [...] Read more

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2020 OCIE Priorities If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may... [...] Read more

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FINRA Fines Prudential $1M for Wrong Info on Fees in Retirement Plans Mark this in the category of “one more reason to have affective advertising compliance software.” Prudential Investment Management Services, LLC was recently fined for violating multiple FINRA rules from 2010... [...] Read more

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Work at Red Oak as an Enterprise SaaS Implementation Consultant We currently have a need for an Enterprise SaaS Implementation Consultant.  Please take the time to review the description, requirements, and responsibilities. Feel like you are a good fit? Send... [...] Read more

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SEC Proposes New Accredited Investor Definition Last month, the SEC voted to propose amendments to the definition of “accredited investor,” opening new avenues to previously underserved investors who have (or should have) the knowledge and expertise... [...] Read more

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