Upcoming Events:

The Art of Marketing in a Changing Regulatory Environment

Expert Insights into SEC’s Updated Advertising Rule 206(4)-1

Join our panel of experts to learn:

Where the regulatory focus will be
What other firms are doing now
Why certain distribution methods being chosen
How the definition of advertisement has expanded
New general prohibitions
Testimonials, Testimonials, Testimonials

Access Past Events and Resources

Risk webinar

Know Your Risk
Control Your Risk

Understand Risk-Based Regulatory Exams to Improve Your Firm’s Results:

  • Learn how FINRA’s Risk Assessments impact exam frequency and scope
  • Assess your firm’s risk
  • Improve regulatory relationships
  • Identify steps to impact risk assessments
  • How to make your Compliance Program Audit Ready

Read our blogs and listen to the Oyster Stew Podcast
where we discuss what’s happening in the industry
based on what we see as we work with regulators and clients.