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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.
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Dec 18, 20182 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...
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Feb 11, 20188 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...
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