Monthly Archives: June 2012

Social Media Best Practices Webinar

Join Cindi R. Hill, CFP®, IACCPTM of Hill Compliance Advisors and Lisa Roth, CEO, CCO of Keystone Capital Corporation for a webinar on social media best practices for advisers. The webinar is this Thursday, June 28th at 4pm EDT.  Please … Continue reading

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Investment News Social Media survey

The recent Investment News Social Media survey is interesting, yet not surprising – 58.3% of those responding have uncertainty over compliance and regulatory rules associated with social media. The SEC “rules” are really guidelines under the heading “National Examination Risk … Continue reading


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ERISA Section 408(b)2 – What you should know!

Earlier this year the US Department of Labor adopted final regulations under ERISA Section 408(b)2.  The final rule (Rule) was adopted with a final compliance date of July 1, 2012.  This date is rapidly approaching. Why do you care – … Continue reading

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Mid-sized Advisors Prepare for the Examiner

All you mid-sized advisors switching from SEC to state registration may want to begin preparing for an examination.  According to Joe Brady, General Counsel, NASAA, speaking at the recent NRS Conference, states will begin to focus on these advisers since … Continue reading

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