On January 27th, 2020, the Securities and Exchange Commission’s Office of Compliance...
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Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new...
Time flies, and here we are, another year is flying by. Evaluating your business strategy and...
The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...
Emerging hedge fund managers are finding it harder than ever to raise capital. They lack a...
I recently was approached by a financial adviser looking for a referral for someone who could help...
Requirements for ADV Updates from October 1, 2017. The Securities and Exchange Commission (the...
The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a...
