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

Admin

Nov 6, 20193 min read

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.

How Not to Get Zapped by Electronic Communications

Admin

Dec 18, 20182 min read

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...

Social Media Perspectives - Build a Network of Trust

Admin

Feb 11, 20188 min read

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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