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15-03-2021
BLOG, Business, Compliance
What is the SEC focusing on in 2021?
You may be wondering if you are on the list for an exam this year. Is it due time for
05-03-2021
BLOG, Business, Compliance
Spring cleaning has begun – and the SEC is full steam ahead!
The SEC is moving beyond an adviser’s good faith effort to comply in the latest round of SEC Regulation Best
04-02-2021
BLOG, Compliance, SEC
Thought 2020 (and all its glory) slowed the SEC Down? Think again.
On November 2nd, 2020, the Securities and Exchange Commission (“SEC”) Division of Enforcement (the “Division”) released their 2020 Annual Report.
27-01-2021
BLOG, Business
PPP The Sequel
Have you heard about the second round of PPP COVID relief?  Do you want to know how it is different
28-12-2020
BLOG, Business, Compliance
A holiday present from the SEC: The Marketing Rule
After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange Commission (the “SEC”) announced some
23-12-2020
BLOG, Business, Compliance
Don’t Rule Out the Top Guns..
The SEC doesn’t back down from a fight no matter the size of the players. Wells Fargo took a hit
07-12-2020
BLOG, Compliance, SEC
They’re setting their scope for the next kill
The SEC hasn’t slowed down their hunt for harmed investors. Oh, no. As of late, more than $3 million has
21-10-2020
BLOG, Business, Compliance
Social Dilemma: SEC Edition
With recent increase in the usage of electronic communication, we thought it necessary to touch on what the SEC is
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