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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...
advertising issues for rias

Advertising Issues for RIAs

The Office of Compliance Inspections and Examinations (“OCIE”) has provided a list of...
Understand the whistleblower dynamics and how maintaining compliance can safeguard your firm from potential pitfalls.

Every Office Has A Whistleblower Waiting For You to Slip Up

The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...
Stay informed on the key changes in Form ADV effective this October and ensure compliance and readiness.

FORM ADV CHANGES GO INTO EFFECT IN OCTOBER

Requirements for ADV Updates from October 1, 2017. The Securities and Exchange Commission (the...

Series 50 Exam

The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a...