Recent Posts by admin

SEC Announces 2016 Exam Priorities

Jan 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published examination priorities for 2016.

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FPA Says Financial Advisor Software Essential

[14-April 2011] -- THE Financial Planning Association (FPA) claims its survey of more than 330 Financial Advisors found most firms do not use Financial Advisor Software.

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