I have often written about the “evils of annuities.” In my experience, I have seen annuities sold: Within retirement...
On October 15, Andrew J. "Buddy" Donohue, Chief of Staff at the U.S. Securities and Exchange Commission, put chief compliance officers at...
When you open a document in Office 365 that was edited by another user, or by you on another device, all of the changes are highlighted in...
RIA data-security practices, one of the touchiest topics of our time, was the subject of this week’s A4A webinar. Chris Winn, an authoritative...
Are you ready for an SEC Exam? If you are SEC registered and have yet to receive an exam, you better prepare. For months the SEC has...