regulatory

time 1 minute read

Regulatory Update: State Regulators Revisit Temporary Relief for Investment Advisor Registrants Affected by the COVID-19 Pandemic

Several states adopted measures granting temporary relief to investment advisor registrantsfalse
time 5 minute read

Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisementsfalse
time 2 minute read

How Has The Global Pandemic Impacted Your Compliance Program?

While the pandemic has given us many personal and professional challenges and considerations, afalse
time 1 minute read

Navigating the Waters of Innovative Products

By Gabriel Edelman and Steve Murphy