The United States Securities and Exchange Commission (“SEC”), North American Securities Administrators Association (“NASAA”) and Financial Industry Regulatory Authority (“FINRA”) released the findings from their recent joint inspection of “free lunch” seminars targeted at seniors.

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We’re excited to announce a new Resources page on our website. Our goal with this page is to provide you with links to some of the more useful websites for today’s Chief Compliance Officer. The page is also a good reference tool for individuals and firms just starting an investment advisor. We also invite you to check our website frequently in the future as we plan to include additional updates and articles concerning the regulatory maze facing today’s investment advisor practitioner and compliance officer.

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