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SEC

Robo-advisers Aren’t Just For Millennials

Navigating an SEC Investigation: What to Expect and How to Protect Yourself

Discovering that you are the focus of an investigation by the Securities and Exchange Commission...

SEC Violations: What You Need to Know

The Securities and Exchange Commission (SEC) plays a vital role in safeguarding the integrity of...
Dive deep into the SEC's custody rule, understanding its implications, requirements, and relevance for your financial operations.

SEC Custody Rule Explained: What Investment Advisers Should Know

As an investment adviser, you are familiar with the intricate nature of regulatory laws and...
A private fund manager discussing SEC compliance

Private Funds, the SEC, and the Law: Which Rules Apply?

A private fund refers to an entity that consolidates funds from numerous investors without actively...
SEC settlement concept, a lawyer shaking hands

Can an Alleged SEC Violation Be Settled?

When the Securities and Exchange Commission (SEC) initiates investigations into alleged violations...
Learn how to prepare for arbitration

How To Prepare for Arbitration: 5 Essential Tips

Whether you possess extensive experience in the business world or are a budding entrepreneur, it is...
An RIA doing a review for SEC compliance.

SEC Plans to Focus Its Attention on Recently Adopted Rules

The Securities and Exchange Commission (SEC) has recently implemented multiple rules that impose...
Accessing the world online

Regulation in an Online World

The SEC is on a path to ensure that all forms of finance are fairly regulated. And in a...
Fiduciary Duty

What is Fiduciary Duty and What Does that Mean For Your Firm?

The term “fiduciary duty” is often used in finance, but its meaning may be unclear to...

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