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This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast changes that have taken
On January 27th 2020 the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued examination observations related
Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new standard
Note: This story originally appeared on FINRA. You may read it here. Anybody remember the movie Office Space? That red
Not sure how to communicate with your younger coworkers or clients? Looking to attract new clients that don't fit inside
Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one simple mistake
Understanding Cyber Insurance Guest Blog Post by Linda M. Vecoli CPCU RPLU and Emma Feloni   Are you concerned about
Callrail Script