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An attorney helping with RIA registration

How An Attorney Can Help With RIA Registration

Registered Investment Advisers, or (RIAs), are financial professionals or companies who guide...
What Violations Are Catching FINRA’s Attention? | Atlanta, GA 30339

What violations are catching FINRA’s attention?

Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of...
SEC Modernizes Framework for Fund Valuation Practices

The SEC is Proposing a Modernization of the Framework for Fund Valuation Practices

This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast...
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...

Annual Compliance Reviews

Can you believe it?  It’s time for yet another annual review.  That means it’s time...

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