Expungement Week 2022
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures

Expungement Week 2022

AdvisorLaw has dominated the FINRA arbitration environment since being branded the "800-pound gorilla." We’ve successfully completed more advisor-initiated expungements than the rest of the industry combined. Over the past seven...
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Four Tips For A Successful Sale Of Your RIA Or Financial Advisory Practice
Mergers & Acquisitions Selling RIA Succession Planning

Four Tips For A Successful Sale Of Your RIA Or Financial Advisory Practice

Now is a good time to sell your financial advisory or wealth management practice. This month, at its 10th Deals and Dealmakers Summit, California investment-banking firm, Echelon Partners, reported “higher...
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FINRA’s Career-Ending Form U5
FINRA Disputes & U5 Terminations

FINRA’s Career-Ending Form U5

Financial advisors and wealth managers should be very concerned with the potential consequences of negative Forms U5. The Financial Industry Regulatory Authority (FINRA) has launched a two-pronged attack on its...
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The RIA Compliance Lifehack
RIA Compliance

The RIA Compliance Lifehack

Depending on your business location, the average salary for a small RIA firm’s Chief Compliance Officer (CCO) is likely around $120,000 annually. But that doesn't include: health Insurancestate taxesfederal taxessocial...
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How to Prepare for the SEC’s 2022 Exams
RIA Compliance

How to Prepare for the SEC’s 2022 Exams

This year’s SEC examination priorities focused primarily on Standards of Conduct and whether advisers are acting consistently with their fiduciary duty to clients — exploring duties of care and loyalty,...
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SEC & FINRA Regulation Best Interest Enforcement Bags First Victims
FINRA, SEC, State & CFP Board Enforcement

SEC & FINRA Regulation Best Interest Enforcement Bags First Victims

FINRA has carried out more than 600 firm exams since the implementation of Regulation Best Interest (Reg BI) in June 2020. Exactly a year later, the Securities and Exchange Commission...
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How do I secure lending to acquire a financial practice?
Lending Opportunities Mergers & Acquisitions

How do I secure lending to acquire a financial practice?

If you’re interested in buying a financial practice but need additional financing to get the ball rolling, there are a number of considerations to take into account. On this week’s...
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AdvisorLaw Response To FINRA’s Attempt To Decimate Expungement
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

AdvisorLaw Response To FINRA’s Attempt To Decimate Expungement

Last month, we publicized FINRA's new attempt at gutting the expungement process for advisors who wish to clear their records of meritless complaints (SR-FINRA-2022-024). The highlights of the proposed rule...
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SEC and DOL Implement Several Significant Changes
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

SEC and DOL Implement Several Significant Changes

In the first half of 2022, the Securities & Exchange Commission and the Department of Labor implemented or proposed a number of significant changes to the regulatory regime governing registered...
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Reviewing FINRA’s Annual Report Might Just Make You Want To Start An RIA
FINRA, SEC, State & CFP Board Enforcement RIA Setup & Registration Starting your own RIA

Reviewing FINRA’s Annual Report Might Just Make You Want To Start An RIA

FINRA just released its annual report. Every year at AdvisorLaw, I have a hard time reconciling the sheer amount of money floating around this self-regulatory organization (SRO) and the relatively...
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When should I start planning to sell my advisory practice or RIA?
Lending Opportunities Mergers & Acquisitions Succession Planning Valuations

When should I start planning to sell my advisory practice or RIA?

When you’re looking to sell your advisory firm or RIA, there are many factors at play that could impact how seamless and profitable the transaction will be. This week on “Ask...
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Private Equity Rules Set To Change
Private Funds RIA Compliance

Private Equity Rules Set To Change

A proposed rule that would strengthen the disclosure requirements and scrutiny of private fund advisors is being fought by investment advisors and RIA firms. The extended comment period has officially...
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FINRA Enforcement Trends & Updates
FINRA, SEC, State & CFP Board Enforcement

FINRA Enforcement Trends & Updates

Evaluations Under FINRA Rule 4111 FINRA-member firms and brokers across the U.S. have been under immense pressure over the last month since FINRA began its firm evaluations under the new...
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How does AdvisorLaw charge for ongoing compliance?
RIA Compliance

How does AdvisorLaw charge for ongoing compliance?

AdvisorLaw stays ahead of SEC and state regulatory changes so that RIAs can focus on building and growing their business. Custom-tailored to each individual firm, we provide an array of...
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What if I was wrongfully terminated by my broker-dealer?
FINRA Disputes & U5 Terminations

What if I was wrongfully terminated by my broker-dealer?

FINRA’s Form U5 filing requirement is a one-sided weapon that firms frequently employ in their attempts to obliterate financial advisors’ and wealth managers’ careers. We have seen hundreds of cases...
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Three Key Factors To Consider Before Selling Your RIA
Mergers & Acquisitions Selling RIA Succession Planning

Three Key Factors To Consider Before Selling Your RIA

M&A activity is still at an all-time high, inspiring many advisers to sell their registered investment advisor practice or wealth management book of business. RIA merger and acquisition activity had...
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Timely Disclosure Of IRS Tax Liens, Judgments, Bankruptcies
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures

Timely Disclosure Of IRS Tax Liens, Judgments, Bankruptcies

*Notices from FINRA or the SEC are extremely time-sensitive. If you received an enforcement action, call us right now at (303) 952-4025 to talk with an attorney and receive a priority consultation...
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Rule 4111 & Proposed Restrictions On Expungement Process Force Firm-Wide Disclosure-Removal Efforts
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Rule 4111 & Proposed Restrictions On Expungement Process Force Firm-Wide Disclosure-Removal Efforts

As of June 1st, the new FINRA Rule 4111 is now effective, and the SRO has been hard at work attempting to highlight and hold accountable firms that house an...
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What is an on-the-record (OTR) interview, and how should I prepare for it?
FINRA, SEC, State & CFP Board Enforcement

What is an on-the-record (OTR) interview, and how should I prepare for it?

One of the final stages of a FINRA investigation is an on-the-record interview, or "OTR." An OTR is similar to a deposition or interrogation that focuses on an investment-related or...
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Managing The Form U5 When Departing A Firm
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Managing The Form U5 When Departing A Firm

After leaving a firm, should you worry about your Form U5? When it comes to leaving a broker-dealer or wirehouse — whether on a voluntary or involuntary basis — every...
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