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