SEC Allows Broader Use of Social Media for Investment Manager Advertising Apr16

Posted by & filed under White Paper.

Social

Social media has been a game changer when it comes to consumers and their ability to research and review companies or services online. Many service providers, including investment advisors, have some form of social media presence including blogs, Twitter, LinkedIn, and others. The SEC recently issued guidelines on what is, and what is not, acceptable… Read more »

Dodd-Frank and New SEC Rulemaking Initiatives Dec27

Posted by & filed under Compliance.

We welcome guest contributor Seymour Bucholz, a seasoned transactional attorney focused on corporate and regulatory matters for broker-dealer clients at Garvey Schubert Barer. Mr. Bucholz is presenting a white paper discussing the impact of the forthcoming Dodd-Frank Act. Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act will impact virtually every professional… Read more »