Monthly Archives: November 2012


I have been seeing a lot of LinkedIn endorsements of late.  An “endorsement”, similar to a “recommendation” is considered a testimonial.  The SEC Advertising Rule prohibits an investment adviser from using any advertisement that refers to any testimonial concerning the … Continue reading


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Preliminary Renewal Statements

Time to prepare for the 2013 Renewals.  The Preliminary Renewal Statement will be ready for viewing on Monday, November 12th.  Prior to that time, you may want to confirm that the states in which you are registered or noticed filed … Continue reading

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