California Goes Green and Marketing Rule Gains Steam |
[Video] This month, we discuss California’s bill to require companies to reveal their greenhouse gas emissions and nine RIAs get fined by the SEC. |
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11 Reasons you Could be Picked for an SEC Exam |
The SEC recently issued a risk alert that provides detailed insights into how it selects investment firms for exams, areas of focus and documents they may request. |
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Heading to the NSCP Conference? |
October 16-18, 2023 | Dallas, Texas |
Don't forget to swing by Booth #36 to pick up some fun swag and learn how our technology can help simplify compliance. |
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CE Council Releases Q2 Firm Element Highlights |
The recent quarterly highlight, released by the CE Council, features reminders about regulatory notices on private placements, municipal securities and fraud. |
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NASAA Reports Decrease in 2023 Exam Violations |
A recent report from NASAA highlights a substantial decrease in violations during coordinated state investment adviser exams in 2023 compared to mid-2021. |
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