- IAA Newsletter - "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules And What Then"
- NSCP Currents - "Why Advisory Fees and Expenses Remain a Continued Regulatory Focus"
- JLG Risk Management Tip - "How Risk Alerts Can Help You Prepare for Your Next Examination"
Risk Alerts & Other Documents
- DOL - "New Fiduciary Advice Exemption- PTE 2020-02 Improving Investment Advice for Workers & Retirees Frequently Asked Questions" (April, 2021)
- OCIE Risk Alert - "Observations from OCIE's Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices" (November 9, 2020)
- Division of Examinations Risk Alert - "The Division of Examinations’ Review of ESG Investing" (April 9, 2021)
- Division of Examinations Risk Alert - "Observations from Examinations of Investment Advisers Managing Client Accounts That Participate in Wrap Fee Programs (July 21, 2021)