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SEC

Explore the dangers of predatory financial practices, and learn how to safeguard your practice and your clients.

They’re setting their scope for the next kill

They’re setting their scope for the next kill The SEC hasn’t slowed down their hunt for...

Social Dilemma: SEC Edition

With the growing prevalence of electronic communication in the financial industry, it is crucial...
Now Your Advisors Are Working From Home. Reviewed Their Remote/Branch Office

Now your advisors are working from home. So, have you reviewed their remote/branch office?

As more aggregation takes place in the industry, more firms are supervising advisors located...
Let The Exams Continue | (770) 343-7299 | Atlanta, GA 30339

Let the Exams Continue..

The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team...
Law Without Penalty Is Advice. | Suite 1500, Atlanta, GA 30339

“Law Without Penalty Is Advice.”

The Securities and Exchange Commission (SEC) recently made an announcement regarding Interactive...
SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Amendments to Procedures for Exemptive Relief

The SEC is frequently receiving applications for exemptions or other relief for funds. These...
Are Your Disclosures Going To Get You In Trouble | Atlanta, GA 30339

Are your disclosures (or lack of) going to get you in trouble?

The SEC initiated an effort several years back, mandating companies to come forward if they had...
Learn what advisers wish they knew before engaging with the SEC. Equip yourself with crucial knowledge.

7 things advisers wish they knew BEFORE they decided to deal with the SEC

Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one...

SEC Enforcement Division Issues Report on Priorities and FY 2017 Results

The Securities and Exchange Commission’s Enforcement Division issued a report highlighting its...