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The Human Capital podcast brings you the latest on the people who are helping to shape the financial services regulatory landscape, be they lawmakers, attorneys, industry officials or lobbyists. We'll get inside views from the movers and shakers on how various policy matters are impacting the advisory industry. Hosted by Melanie Waddell, Washington Bureau Chief for Investment Advisor Magazine and ThinkAdvisor.com, this bi-weekly podcast complements the weekly Human Capital briefing. 
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  2. Compliance Guru Todd Cipperman Breaks Down the SEC’s New Ad Rule

Compliance Guru Todd Cipperman Breaks Down the SEC’s New Ad Rule

Nov 14, 2019

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 Cipperman details how a new rule proposal by the SEC to modernize its sorely outdated advertising rule will dramatically alter advisor marketing practices, as well as the SEC’s “aggressive” enforcement direction and the agency’s recent “out of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.