Infographic

SEC's 2017 Top 10 RIA Examination Priorities Checklist

To provide further guidance on the SEC's 2017 exam priorities, we created a checklist that outlines top focus areas.

Sec Exam Priorities

02/23/17

Download now!

Woman typing on a laptop

Managing the New Marketing Rule: How to Comply with Performance Advertising 10/04/24

5 Benefits of Automating Marketing Review 10/03/24

The Compliance Dos And Don’ts of Using Social Media in 2024 10/02/24