The SEC's guidance comes weeks after news reports indicating that many firms were failing to properly disclose prior issues and stresses that firms cannot omit the disciplinary section, regardless of the answer they give.
These verbiage mistakes can kill your positioning, make you seem pushy or showcase a sales-first mentality.
Echo Wealth Management founder Echo Huang details her journey starting from scratch in the financial services industry to running her own firm with $120 million in AUM.
The proposed rule would enable individuals to solicit accredited investors on behalf of issuers. Supporters say it can help small businesses raise capital. Critics worry it will lead unprepared investors into less transparent markets.
Once the coronavirus hit and we all started working from home, Bruce Lee's phone started ringing with questions from captive advisors about independence.
