Jaqueline Hummel

Off Channel Communications Webinar

Capture if you Can: SEC3’s New Director of Thought Leadership Participates in Global Relay Free Webinar on E-Comms Liability

April 23, 2024 No Comments

Check out this webinar where we discuss the latest developments on e-communications compliance policies.

SEC Announces Five More Settlements from Marketing Rule Sweep

April 18, 2024 No Comments

SEC slams firms for using hypothetical performance on websites. See our analysis.

Top Ten Reasons to Hire an RIA Compliance Consulting Firm

April 11, 2024 No Comments

Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm

Compliance Roundup for April 5, 2024

April 2, 2024 No Comments

For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy! Spring and T+1 are

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