Tag: SEC

https://brightstarlawgroup.com/compliance-program-mistakes-and-remedies/

TOP TEN MISTAKES WE SEE IN RIA COMPLIANCE PROGRAMS

Mock SEC Exams

How Can RIAs Benefit from Mock SEC Exams?

reforms for private fund advisers

SEC Adopts Sweeping Reforms for Private Fund Advisers

marketing rule

Understanding the New SEC Marketing Rule: A Land of Opportunity and Risk