Investment Adviser Regulation

Consistent with the ongoing guidance/requirements from the SEC and FINRA, all firms must have and enforce data security policies and procedures.  Even the best policies and procedures may, however, not
Continue Reading A Data Breach! You Better Check The Law Of The States In Which You Have Customers

In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost? Are there situations where you
Continue Reading When just saying “no” is a good thing