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Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance

SEC Charges Investment Advisers and Representatives for Violating the Testimonial Rule Using Social Media and the Internet
 
Regulation Best Interest For all intent and purposes, the DOL Rule was an absolute mess; a thousand pages of convoluted lawyer language. I don’t know why, but at this point in my life... [...] Read more
Staying Ahead in the Heart of the Storm With Hurricane Florence barreling down on the east coast, it would be prudent for investment advisers across the country to take a step back and reexamine the measures they have... [...] Read more
SEC Proposes Changes to Margin Requirement for Security Futures July 3rd – The Securities and Exchange Commission (SEC) announced today that it seeks to align the minimum margin required on security futures with other similar financial products. If the... [...] Read more
Investment Advisers and Registration Requirements The definition of investment adviser is a person or entity who engages in the business of advising others for compensation, either directly or through publications with respect to the value... [...] Read more
SEC clears up confusion over advisers calling themselves fiduciaries In the SEC’s recently approved Reg BI, the SEC requires a client relationship summary, the Form CRS. This document must be presented to clients and is meant to explain the... [...] Read more
SEC Considering Changes to Private Offering Rules The SEC has issued a Concept Release that is requesting comment on possible changes to the offering rules, including the “accredited investor” definition and the use of private funds to... [...] Read more