Joot Blog

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Karen Mauk

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Recent Posts

Michigan Adopts New Continuing Education Requirements for IARs

May 17, 2022 3:35:20 PM / by Karen Mauk posted in Investment Advisers, SEC, Michigan

Prepare for Michigan’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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Maryland Adopts New Continuing Education Requirements for IARs

Dec 21, 2021 3:02:50 PM / by Karen Mauk posted in Investment Advisers, SEC, Maryland

Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule

Nov 30, 2021 4:44:44 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.

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Announcing JootAI Powered by MySocialPulse

Nov 29, 2021 1:52:13 PM / by Karen Mauk posted in Announcement, Artificial Intelligence, Compliance Technology, FinTech, RegTech

Get a free trial of JootAI powered by MySocialPulse today and join us as we build the future of RIA compliance, together.

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5 Stars: Third-Party Ratings and the New SEC Marketing Rule

Jul 27, 2021 2:58:04 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Confused about how the new SEC marketing rule differentiates between third-party ratings, testimonials, and endorsements? Get some clarity here.

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Performance Advertising and the New SEC Marketing Rule

Jun 29, 2021 12:45:00 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Learn about the requirements and restrictions for performance advertising under the new SEC marketing rule.

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Straight Talk: A Discussion with Eric Powell, Part 2

May 25, 2021 12:09:09 PM / by Karen Mauk posted in Investment Advisers, Compliance Technology, Interview

Learn about Eric Powell's advice for financial advisers in leveraging compliance technology to grow their business and build trust with clients.

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Straight Talk: A Discussion with Eric Powell, Part 1

May 11, 2021 7:30:00 AM / by Karen Mauk posted in Investment Advisers, Compliance Technology, Interview

We were fortunate to sit down with Eric Powell, founder of RightPlan Financial and the Future Mill, to discuss what registered investment adviser (RIA) firms can do for their clientswhat it means to build trust, how to leverage technology to manage compliance, and other fun stuff like what roles firefighters and personal trainers play in the financial services industry.

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Reality Check: Introducing the New SEC Marketing Rule

May 4, 2021 7:30:00 AM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

The new SEC marketing rule calls to mind the Peter Parker principle: "With great power comes great responsibility." (Any Spider-Man fans out there?) The marketing rule consolidates two outdated rules and accounts for updated technology, like social media. It was a long time coming, providing a much-needed update to advertising regulations in place since 1961 and cash solicitation rules in place since 1979Now, advisers can choose whether to implement the rule on or after the effective date of May 4, 2021, or wait until the compliance date of November 4, 2022. But here's the catch: advisers who act now must comply with the rule in its entirety; that is, no cherry-picking some rule requirements and ignoring others. It’s a big decision, and advisers aren’t taking it lightly.

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