A peer created this checklist to add the firm's compliance with revised Reg S-P
Take some ideas for improving your marketing P&Ps by comparing yours to this one supplied by a peer
The Division continues to focus on advisers’ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...
A peer shares an example of an advertising and marketing policy and procedure for an adviser
Be sure to remind your registered reps to earn their required continuing education units
DOE pledges to explore ways to 'empower registrants and investors alike by providing transparency of key examination observations; maintaining focused engagement through our national and ...
This exam letter from the SEC's Miami Regional Office signals what topics are interesting examiners there
Spruce up your firm's personal trading P&Ps by gaining ideas from this sample P&P
Few things are hotter today than artificial intelligence. It's wise to have a P&P, and this one--shared with RCW by a peer-may give you a ...
State regulators conduct routine and for-cause examinations of broker-dealers and state-registered investment advisers