Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
January 9 2014 - Resource
Securities Registration Maintenance and Management
In this day and age of increased regulatory scrutiny over the securities industry, including an unfortunately long line of major enforcement cases levied by the SEC and referred to the U.S. Department of Justice, proper registration of a firm’s associated persons may not be at the top of many compliance watch lists. However, although relatively […]
Read full article
October 3 2013 - Resource
Evolution Revolution 2013
The Investment Adviser Association (IAA) and National Regulatory Services (NRS) issued the 13th annual Evolution/Revolution report, an in-depth study that analyzes annual updates filed by investment advisers registered with the Securities and Exchange Commission (SEC). The 2013 report is based on information on file with the SEC as of April 12, 2013. This year’s report […]
Read full article
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.
Read full article
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.
Read full article
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.
Read full article
March 25 2013 - Resource
A Better Continuing Education Solution
Register here to download
Read full article