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Stay informed about the SEC's latest regulatory actions and initiatives as they rejuvenate their focus this spring. Ensure your practices are compliant.

Spring cleaning has begun and the SEC is full steam ahead

Spring cleaning has begun and the SEC is full steam ahead In the latest round of SEC Regulation...
PPP COVID Relief | Atlanta, GA 30339 | (770) 343-7299

PPP The Sequel

Have you heard about the second round of PPP COVID relief?  Do you want to know how it is...
SEC's Holiday Gift: The New Marketing Rule - My RIA Lawyer

A holiday present from the SEC: The Marketing Rule

After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange...
Understand the significance of top performers in the financial sector and why they should never be overlooked.

Don’t Rule Out the Top Guns

Don’t Rule Out the Top Guns Regardless of the entities involved, the SEC demonstrates its...

Social Dilemma: SEC Edition

With the growing prevalence of electronic communication in the financial industry, it is crucial...
Now Your Advisors Are Working From Home. Reviewed Their Remote/Branch Office

Now your advisors are working from home. So, have you reviewed their remote/branch office?

As more aggregation takes place in the industry, more firms are supervising advisors located...
covid-19

COVID-19 Brings Risks – and we aren’t talking Health Risks

Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic....
Let The Exams Continue | (770) 343-7299 | Atlanta, GA 30339

Let the Exams Continue..

The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team...
Law Without Penalty Is Advice. | Suite 1500, Atlanta, GA 30339

“Law Without Penalty Is Advice.”

The Securities and Exchange Commission (SEC) recently made an announcement regarding Interactive...

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