Author John Williams

Joot, Director of Compliance Services

John brings nearly three decades of regulatory compliance experience, with the last 14 years as a chief compliance officer for a broker-dealer/RIA. He also has expertise in international operations, business continuity planning, cybersecurity, and banking.

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Thumbs-Up: Testimonials, Endorsements, and the New SEC Marketing Rule

06/15/2021

Thumbs-Up: Testimonials, Endorsements, and the New SEC Marketing Rule

Confused about which testimonials and endorsements the new SEC marketing rule permits? Get the plain facts here.

John Williams

Director of Compliance Services, Joot

A Preview of Examination Scope and Content for Regulation Best Interest and Form CRS

Get our preview of SEC examination scope and content for Regulation Best Interest and Form CRS.

John Williams

Director of Compliance Services, Joot

Form CRS

Regulation Best Interest

Six Latest COVID-19 Risk Observations From the SEC

08/27/2020

Six Latest COVID-19 Risk Observations From the SEC

The Securities & Exchange Commission recently issued a Risk Alert to share some of the observations that the Office of Compliance Inspections & Examinations (OCIE) have seen during the COVID-19 pandemic.