SEC Proposes Increased Threshold for 13F Reporting
Author: Ian Meiksins The SEC has proposed a substantial leap in the reporting threshold of Form 13F. Form 13F, as it currently stands, requires advisors…
Regulatory Update
Ten Steps for Safer and Secure Video Calls
Author: Alisha Dowell As we deal with current restrictions and personal distancing rules, it becomes more important than ever for investment advisory firms to connect…
Regulation Best Interest (Reg BI) Update
Authors: Jay Kasting and Chris Payne What is Regulation Best Interest On June 5th, 2019, the Securities & Exchange Commission (SEC) finally unveiled the much…
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