AdminNov 6, 20193 minSEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment AdvisersSEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
AdminDec 18, 20182 minHow Not to Get Zapped by Electronic CommunicationsOn Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages advise...
AdminFeb 11, 20188 minSocial Media Perspectives - Build a Network of TrustSocial Media is an extension of in-person marketing, meetings and more. From recommending a good book - to a business meeting - to shar...
