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SEC Enforcement Division Issues Report on Priorities and FY 2017 Results

The Securities and Exchange Commission’s Enforcement Division issued a report highlighting its...
advertising issues for rias

Advertising Issues for RIAs

The Office of Compliance Inspections and Examinations (“OCIE”) has provided a list of...
Understand the whistleblower dynamics and how maintaining compliance can safeguard your firm from potential pitfalls.

Every Office Has A Whistleblower Waiting For You to Slip Up

The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...
Stay informed on the key changes in Form ADV effective this October and ensure compliance and readiness.

FORM ADV CHANGES GO INTO EFFECT IN OCTOBER

Requirements for ADV Updates from October 1, 2017. The Securities and Exchange Commission (the...

Series 50 Exam

The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a...
Stay updated with the SEC's recent JOBS Act amendments, exploring its relevance and impact on financial businesses.

SEC Adopts JOBS Act Amendments

The Securities and Exchange Commission (SEC) has announced the adoption of amendments aimed at...
Dive into the case study of how an S-Corp structure might not always protect financial advisers in legal situations.

S-Corp Fails to Shield Financial Adviser

LPL Financial Services (“LPL”) registered representative Ryan M. Fleischer has to pay...

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