3 Things to Do Now About the New Investment Adviser Marketing Rule

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On December 22, 2020 the SEC released its new Investment Adviser Marketing Rule, intended to modernize the regulatory framework. Most Investment Adviser firms will find a little bit of good news and a little bit of bad news within the 430 pages.  The rule restructures frameworks, repeals as-yet-unspecified No-Action Letters and has new definitions for… READ MORE

Oyster Senior Consultant Harriet Britt Contributes Article to April Issue of NSCP Currents

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Oyster Senior Consultant Harriet Britt recently contributed her article, “FINRA Digital Advice and the Robo-World” to the National Society for Compliance Professional’s (NSCP) latest issue of Currents, the organization’s monthly publication for industry professionals.  The article reviews FINRA’s “Report on Digital Advice,” including  supervision of testing algorithms and tools, fees and expenses, investor profiles and… READ MORE

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