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Things to Know About New SEC Modernized Marketing Rules in Atlanta

15-07-2021

BLOG, Compliance, RIA

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules

Most financial advisors would rather network with clients than worry about RIA compliance. However, an unexpected SEC inspection could cost

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

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

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Recent Posts

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules
Most financial advisors would rather network with clients than worry…
Click to Read More »
What is the SEC focusing on in 2021?
You may be wondering if you are on the list…
Click to Read More »
Spring cleaning has begun – and the SEC is full steam ahead!
The SEC is moving beyond an adviser’s good faith effort…
Click to Read More »

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