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Beth C. Barak
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Sander J. Ressler
(303) 594-8237
sander@eefirms.com
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RegEd Webinar
Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond
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InvestmentNews
Letter to the Editor on Branch Exams
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wealthmanagement.com
A Cure for Branch Exams During Covid-19
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Financial Advisor Magazine
Finra Is Failing on Guidance For Post-Pandemic Branch Examinations
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SEC Holds Firm on June 30 Reg BI Implementation Date
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IGNITES (a Financial Times Publication)
COVID 19 Could Potentially Push SEC to Delay Reg BI
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wealthmanagement.com
COVID-19 Could Be a Harsh Test for Advisors’ Business Continuity Plans
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wealthmanagement.com
The Legal Risks of Failing to Disclose Up-Front Bonuses
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Real Assets Adviser Magazine
Roundtable: Modernizing SEC and FINRA regulations?
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ThinkAdvisor Magazine
Here's Why to Go With an Outsourced Compliance Pro
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Financial Advisor Magazine
Essential Edge Launches OSJ/IBD Branch Compliance Inspection Service
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Yahoo Finance
Essential Edge Launches With Mission To Substantially Reduce Broker-Dealer Compliance Risks And Costs
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wealthmanagement.com
New Consultancy Goes After Thorny IBD Branch Exams

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Contact us to discuss
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Beth C. Barak
(646) 981-8034
beth@eefirms.com
Sander J. Ressler
(303) 594-8237
sander@eefirms.com

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