Tag Archive: Garver

Course Description: The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has provided an 18-month transition period due to its sweeping changes, many firms are taking advantage of this time to modify policies […]

Course Description: The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has provided an 18-month transition period due to its sweeping changes, many firms are taking advantage of this time to modify policies […]

Course Description: The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has allowed over a year before compliance with the new rules are required, many firms will want to take advantage of many […]