Red Oak Compliance Solutions Exhibiting at FINRA Advertising Regulation Conference

Red Oak Compliance Solutions, a full-service compliance consulting firm helping broker-dealers, registered investment advisers, banks, insurance companies, investment companies and hedge funds, will be an exhibitor at the annual FINRA... [...]

A recent comment by the Co-Chief of the SEC Enforcement Division’s Asset Management Unit, Marshall Sprung, should provide a better sense of the urgency and seriousness towards their ongoing push... [...]