It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'
Click on our most popular stories from October
You wouldn’t be faulted for being among many of us who will celebrate when this election season passes onto the pages of history. But don’t ...
Among the many things that will be impacted by the results of the upcoming presidential election will be the agenda of the SEC and other ...
A client asked his adviser to transfer $500,000 to an escrow account for a real estate transaction. If it weren’t for a staffer’s keen eye, ...
'As bad actors are increasing their use of social media, and digital assets are moving into the mainstream, states securities administrators are increasing their efforts ...
If your ESG fund vows to exclude 'fossil fuel' securities, be sure to define what you mean by this phrase
One of the major lessons of this case is listen to your CCO
RCW doesn’t endorse any of these firms and they didn’t pay to be on our list