Insights Compliance

In late 2020, the SEC announced that it had finalized changes to its Marketing Rule for financial advisors. The amendments create a single rule that replaces the pre-existing advertising and cash solicitation rules. The rule’s broadly drawn limitations and principles-based provisions are designed to accommodate the continual change in technology and ever-expanding ways in which …

Changes to the Securities and Exchange Commission’s “Marketing Rule” recently went into effect, and they impact everything from testimonials to the definition of an “advertisement.”  Staying in compliance with these rule changes can be challenging for advisors, but our on-demand webinar “Staying on Top of SEC Marketing Rule Changes” can help you stay on track.  …

The SECURE Act brought big changes to retirement planning when it was signed into law in 2019. Now, its sequel – dubbed SECURE 2.0 Act – has just passed as part of the 2023 budget. Though SECURE 2.0 Act’s changes to the retirement landscape aren’t quite as sweeping as the original, there’s still plenty advisors …

New rules proposed by the SEC would require greater due diligence for RIAs when working with third-party investment and compliance service providers. The proposed rules are likely to get some pushback from advisors, especially from smaller RIAs who would be most burdened by the additional regulations. The SEC defines two types of service providers covered …

The Securities and Exchange Commission instituted changes last year to its “Marketing Rule” in an attempt to modernize its advertising and solicitation rules. These changes updated the rule for the digital era, and affected things like the definition of an “advertisement” and prohibitions on certain marketing practices. Learn more about these updates to the Marketing …

The SECURE Act shook up the retirement planning scene when it was signed into law in December of 2019. In an effort to better prepare Americans for retirement, the law allowed 401(k)s to offer annuities, encouraged small business owners to set up retirement plans and upped the age at which required minimum distributions start. Now …

A Look at the Major Provisions of the Coronavirus Aid, Relief, and Economic Security Act As the stock market hit its lowest returns since the 2008 Financial Crisis, the government has stepped in in an attempt to boost the economy. The Coronavirus Aid, Relief, and Economic Security Act (CARES Act) produces roughly $2 trillion in …

From loans to tax breaks to credits, the CARES Act attempts to provide relief to small- and medium-sized businesses, which includes most advisory firms. There are four main provisions in the CARES Act that can help you as a business owner: Paycheck Protection Program Economic Injury Disaster Loans Employee Retention Credit The delay of employer …

As a responsible and principled financial advisor, you know that compliance is critical to the operation of your business. The risk of overlooking this key consumer protection – and potentially undergoing an audit – cannot be overstated. From social media to blogs, emails to ad campaigns, articles to video scripts, and more – compliance protects …

A Look at the Major Provisions of the Coronavirus Aid, Relief, and Economic Security Act. As the stock market hit its lowest returns since the 2008 Financial Crisis, the government has stepped in in an attempt to boost the economy. The Coronavirus Aid, Relief, and Economic Security Act (CARES Act) produces roughly $2 trillion in …

CFP Ethics and Leading with Planning as an Ethical and Fiduciary Best Practice Stay Up to Date with the Latest CFP Code of Ethics and Standards of Conduct As a CFP® professional, you need to know how changes to the CFP Board’s revised Code and Standards affect you. Let us help. In our webinar, Professor …