SEC Exam Priorities 2017

SEC Exam Priorities 2017

This January, as with every January, the SEC’s Office of Compliance Inspections…

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Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white…

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Think Before You Tweet: Top 5 Social Media Tips for Advisers

Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago…

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Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith…

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