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Needs of Investment Professionals
Needs of Investment Professionals
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Posts
- 2024-07-16: 2024 Continuing Education Requirements for IARS
- 2022-10-18: Revisiting the New Marketing Rule to Prepare for November 4, 2022
- 2022-05-05: SEC Division of Examinations’ Risk Alert Concerning Notable MNPI
- 2022-04-01: 2022 SEC Division of Examinations Priorities – Summary for RIAs
- 2021-10-29: Prohibited Transaction Exemption – Transition Period Extension
- 2021-09-03: SEC Says – Do Not Procrastinate!
- 2021-08-16: Summary of Risk Alert on Wrap Fee Accounts
- 2021-07-21: SEC Modernizes a New Marketing Rule
- 2021-07-08: Best Practices for Annual Compliance Reviews
Topics
- Advertising/Marketing Rule (1)
- Advisers Act, Rule 206(4)-7 (6)
- Compliance (4)
- Uncategorized (1)