Monthly Archives: November 2018

Speech by SEC Commissioner Hester M. Peirce On October 30, 2018 Commissioner Peirce addressed the National Membership Conference of the National Society of Compliance Professionals. Several comments she made struck us as quotable: “…the majority of you are trying to … Read More ›

The SEC issued a Risk Alert on October 31, 2018 to provide investment advisers, investors and other market participants with information concerning the most common deficiencies related to the Cash Solicitation Rule.  The alert discusses the requirements for using a … Read More ›