Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
September 27 2013 - Resource
Registered Reps as Advisers
This whitepaper outlines how registered reps can manage risks associated with outside business activities when acting as advisers.
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August 21 2013 - Resource
Marketing Restrictions Lifted
Download this whitepaper to find out how the JOBS Act Mandated Rule 506 will affect you. You’ll learn more about the risk factors, policing complications, and how this will increase regulatory scrutiny. You’ll also learn what you need to do to remain in compliance.
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June 18 2013 - Resource
SEC Set to Enforce Broker-Dealer Registration Requirements on Private Fund Managers
This whitepaper will provide you with the knowledge you need to weather the ongoing storms with the SEC, and their enforcement of stricter broker-dealer registration guidelines, and the requirements set on private fund managers.
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March 25 2013 - Resource
A Better Continuing Education Solution
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