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.
top of page
Phone: 207-747-5934
Search
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...
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...
bottom of page