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    SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
    Admin
    • Nov 6, 2019
    • 3 min

    SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

    SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
    160 views0 comments
    How Not to Get Zapped by Electronic Communications
    Admin
    • Dec 18, 2018
    • 2 min

    How Not to Get Zapped by Electronic Communications

    On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...
    11 views0 comments
    Social Media Perspectives - Build a Network of Trust
    Admin
    • Feb 11, 2018
    • 8 min

    Social Media Perspectives - Build a Network of Trust

    Social Media is an extension of in-person marketing, meetings and more. From recommending a good book - to a business meeting - to...
    19 views0 comments

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