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Cynthia Custer

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Recent Posts

Reviewing and Approving Ads under the New SEC Marketing Rule

Aug 24, 2021 11:43:05 AM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.

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Take Note: Form ADV, Recordkeeping, and the New SEC Marketing Rule

Aug 10, 2021 12:22:35 PM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.

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