

CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Sep. 11, 2025 CFP Board vs. BrokerCheck: A Battle for Advisor FairnessAug. 28, 2025 Outsourced CCO for RIAs: Is It…
Doc Kennedy, MBA, J.D.

Outsourced CCO for RIAs: Is It SEC-Compliant?
Are RIAs allowed to outsource their CCO? Get clarity on SEC rules, proposed regulations, and the importance of an empowered,…
Michelle Atlas-Quinn, J.D.

Your 2025 RIA Compliance Checklist: Insights from a Leading Expert
Get insights on SEC priorities for 2025 from AdvisorLaw’s expert, Michelle Atlas-Quinn. Learn how to navigate compliance, fees, and client…
Michelle Atlas-Quinn, J.D.

Financial Advisor Disclosures: How a “Marked” Record Can Tank Your Career Mobility
Don’t let a blemished record hold you back. Learn how your BrokerCheck disclosures are limiting your career as a financial…
Doc Kennedy, MBA, J.D.

Financial Advisor M&A Consulting: Maximizing Your Practice Value with AdvisorLaw
For independent financial advisors, the decision to sell, merge, or acquire a practice is one of the most pivotal in…
Matt Durr, E.A.

Texas Advisor Clears Records With Two Successful Customer Dispute Expungements
A seasoned Texas financial advisor with over two decades in the industry sought to clear the only disclosures on his…