Author: Marques Keith

In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements…

CSS featured a strong presence at the recent 2019 BAM + Loring Ward Advisor National Conference in St. Louis, Mo….

By a 3-1 vote, on June 5, 2019, the SEC acted to provide a new regulatory framework to help retail,…

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…

The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…