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Update: SEC Rule Change Proposal! | Atlanta, GA 30339 | (770) 343-7299

Update: SEC Rule Change Proposal!

The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of proposed rule changes, including a change to the “accredited investor status” verification

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Is Your Cybersecurity Program Air Tight? | Atlanta, Ga 30339

Is your Cybersecurity Program Air Tight?

On January 27th 2020 the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued examination observations related to cybersecurity and operational resiliency

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Form U-5 & Expungements - My RIA Lawyer | Follow Our Blog

Form U-5 & Expungements

U-5 Summary The Financial Industry Regulatory Authority (FINRA) establishes rules and regulations for broker-dealer member. This includes termination of employees. Within 30 days of terminating

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