Summary of Rules & Rule Changes

Ascendant’s most popular free resource is frequently updated and includes a summary of rules and rule changes, including filing deadlines.

Like It Or Not: Social Media and the Testimonial Rule

Social media took center stage again when the Division of Investment Management of the Securities and Exchange Commission (“SEC”) released long awaited guidance on the applicability of the testimonial rule under the Advisers Act to the growing use of social media … Read more

Robust Product Due Diligence: It’s A Necessity, Not an Option!

New product offerings continue to proliferate as Wall Street strives to meet consumer demand. What is driving this process? Among other factors, today’s low interest rate environment has all investors chasing yields into potentially unknown territory… To read the full article fill in the … Read more