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time 4 minute read

Private Fund Marketing and Broker Dealer Registration

The Securities and Exchange Commission (“SEC”) has disciplined firms and individuals forfalse
time 2 minute read

Holiday Gift Giving and Receiving – Is it Compliant?

Ho Ho Ho…Tis the season. It’s that time of year again – the holiday season is officially upon us.false
time 3 minute read

Using the Magic 8 Ball to Predict the Regulatory Future

The Magic 8 Ball is a toy that was first enjoyed by children in the 1950s. The toy gave standardfalse
time 3 minute read

Wrap Fee Programs

Wrap Fee Programs and “Trading Away”
time 2 minute read

Service Provider and Investment Due Diligence in the Retirement Plan Space: A Look at Recent Law Suits

An interesting development arose earlier this month in the qualified retirement plan space. Threefalse
time 3 minute read

Onboarding and Compliance for Newly Hired Investment Advisor Representatives

Before making a hiring decision, newly registered investment adviser representatives should conductfalse

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The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.