If you’re an advisor who is also a Certified Financial Planner, the Certified Financial Planner...
Will the Biden Administration’s SEC Enact More Regulations and Enforcement? Gary Gensler, the...
Jeff Berman quotes Leila Shaver on the new Marketing Rule and what advisers can expect as the SEC...
Leila Shaver, securities attorney and founder of My RIA Lawyer in Atlanta, says advisors will have...
What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules Most...
What is the SEC focusing on in 2021? You may be wondering if you are on the list for an
Spring cleaning has begun and the SEC is full steam ahead In the latest round of SEC Regulation...
On November 2nd, 2020, the Securities and Exchange Commission (“SEC”) Division of Enforcement...
Have you heard about the second round of PPP COVID relief? Do you want to know how it is...
