29 07, 2022

What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?

By |2022-07-29T14:03:58-04:00July 29, 2022|Registered Investment Advisers, Rules and Regulations, SEC|

Marketing and advertising in the mid-20th Century was very different [...]

19 11, 2021

Upcoming Payment Deadlines for 2022 Renewals

By |2021-11-19T16:57:01-05:00November 19, 2021|Broker-Dealer, Compliance Calendar, FINRA, Investment Advisor Representative, Registered Investment Advisers, Registrations|

This is a reminder that December 13, 2021, is the [...]

14 07, 2021

Cybersecurity Exam Observations and Effective Practices

By |2021-07-14T12:10:53-04:00July 14, 2021|Broker-Dealer, Cybersecurity, Examinations, FINRA, Registered Investment Advisers, SEC|

Cybersecurity remains one of the principal operational risks facing broker-dealers [...]

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