In this episode of ThinkAdvisor’s Human Capital podcast, we talk with Todd Cipperman, founding principal of Cipperman Compliance Services, a go-to expert on all things compliance-related for advisors, broker-dealers and mutual funds. Cipperman details how a new rule proposal by the SEC to modernize its sorely outdated advertising rule will dramatically alter advisor marketing practices, as well as the SEC’s “aggressive” enforcement direction and the agency’s recent “out of the blue” sweep of registered funds.
