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November 2022 Financial Investment and Securities Updates

Updates in the financial world this month include SEC advertising rules, NYC Wage Transparency Law Compliance, SEC Electronic Recordkeeping Rule, SEC Proposes New Rule Governing Outsourcing by Investment Advisers, and Rules for Reporting and Advertising by Investment Companies.
New York United States Jon Stewart Investment Companies Financial Industry Regulatory Authority Circuit Court

Customer Retention, DPA, Paperless Products; Investor Disaster News; STRATMOR HELOC Survey

Yogi Berra, when asked about staying in a particular hotel, replied, “The towels were so thick there I could hardly close my suitcase.” I’ve attended my share of conferences in the last few months (no towels were purloined), and the two big general concerns for lenders everywhere are a) providing the best products, price, and service to clients, and b) the general economic and interest rate climate and its impact on their business model. Regarding the second topic, mergers a...
United States United Kingdom Freddie Mac Shane Osborne Brian Vieaux Christi Fullerton

SCORE column: What will 2022 bring? SCORE can help navigate business challenges

As a resource partner of the U.S. Small Business Administration, SCORE - which offers free business mentoring and education -- notes the organization has helped more than 11 million entrepreneurs through mentoring, workshops and educational resources since 1964. The nonprofit SCORE was previously known as the Service Corps of Retired Executives.
United States Small Business Administration Small Business Client Resource

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