The U.S. Securities and Exchange Commission (SEC) informs and protects investors and enforces federal securities laws. Our content is designed to help you understand and comply with SEC regulatory requirements.
Getting Ready for the New SEC Marketing Rule: Insights from the Field
Are you ready for the new SEC marketing rule? Get our expert implementation tips here.
Upcoming Feature from Joot Labs: SEC Exam and Audit Preparation Tool
The prospect of an SEC examination can send even the most diligent firms into a panic. Prepare, organize, and make SEC filings with confidence using Joot's upcoming SEC Exam and Audit Preparation Tool.
Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule
Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
Upcoming Feature from Joot Labs: Communication Compliance Review Tool
Keeping all your communications compliant with SEC standards shouldn’t hold your business back. Here at Joot, we’re building a tool to simplify communications compliance.
Reality Check: Observations from Exams in the RIC Initiatives
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.