Kelli Haugh

    Kelli Haugh

    Recent Posts

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    Regulatory Update: SEC and State Advisors with NY IARs Must Register Their Representatives in 2021

    Effective February 1, 2021, New York will require Investment Advisor Representatives (IARs) to...

    risk alert

    time 1 minute read

    Risk Alert - SEC Issues Guidance on PPP Loan Disclosure

    This week, the SEC published guidance stating that advisors who have taken a Paycheck Protection...

    Regulatory Update: SEC and State Advisors with NY IARs Must Register Their Representatives in 2021

    Kelli Haugh | Dec 16, 2020 7:15:00 AM

    Risk Alert - SEC Issues Guidance on PPP Loan Disclosure

    Kelli Haugh | Apr 30, 2020 4:50:40 PM

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