The Securities and Exchange Commission recently adopted several rules that impose significant...
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast...
On January 27th 2020 the Securities and Exchange Commission’s Office of Compliance...
Note: This story originally appeared on FINRA. You may read it here. Anybody remember the movie...
CYBERSECURITY-QUESTIONNAIRE-1-1Understanding Cyber Insurance Guest Blog Post by Linda M. Vecoli...
Compliance in the Internet Age: Regulators and Compliance Consultants Part 2 of our Expert...
Compliance in the Internet Age: Understanding Advertising, Fees, and Suitability Requirements Part...
Advisers can expect to face some challenges in 2019. Many of these challenges also apply to...
I recently finished reading “The Social Advisor” by Amy Mcilwain. If you aren’t...