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Summary: The Securities and Exchange Commission's review of its advertising rule is raising hopes that it will result in easing investment advisers' use of social media.
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From Mature Solo Practitioner in North Carolina
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From Market Dominator, Metropolitan San Francisco, CA Area
Added on November 2018 in Join an RIA
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Summary: More than two years ago, our team began to explore whether the registered investment adviser platform was better for us than the independent broker-dealer world we were in. Although business was good, we felt it would be beneficial to learn more about the potential for flexibility and technology that being an RIA could offer.
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Summary: The biggest threat to your firm’s security may be lurking in your inbox. Email is a primary means for RIA communication with clients, vendors, other third parties and within a firm. As a result, most data and security breaches happen through email, usually due to some combination of user error and gaps in cybersecurity protection. The potential risks are so great that the SEC has enacted privacy laws concerning the use, storage, transmission and handling of personal information.
