Meet Chris

Watch

SEC Proposes New Rule Regarding Outsourcing for RIAs

Significant Regulatory Changes Likely for the Financial Services Industry

The Volcker Rule: Amendments to the Covered Fund Provisions

SEC Evaluating Scaled Approach for Broker-Dealer Reporting and Audit Requirements

Senators Introduce the Small Business Audit Correction Act

SEC Update: Regulation Best Interest and Form CRS

Potential Legislative Regulatory Changes: What You Should Know

Survey Reports Continued Need for Transparency for Investors

SEC Passes New Rules for Broker Dealers

Contact Us