

Urgent: Expunge Certain BrokerCheck Disclosures Before FINRA’s Deadline
Are you a financial advisor with a settled customer complaint over two years old on your BrokerCheck or CRD record?…
Doc Kennedy, MBA, J.D.

Marketing Rule Audits: Can Your Firm Pass The Test?
The SEC and state regulators have begun conducting “special exams” — limited-scope reviews designed to assess one critical area: compliance…
Michelle Atlas-Quinn, J.D.

The SEC’s Focus On Ad Hoc Creditors’ Committees: A Critical Alert For RIAs
The recent SEC action against Marathon Asset Management serves as a stark reminder for registered investment advisers (RIAs) to prioritize…
Michelle Atlas-Quinn, J.D.

Splitting Away From FINRA: Why Advisors Are Choosing The RIA Path
FINRA’s enforcement actions have been subject to scrutiny, due to the actions’ rigor and potential for excessive penalties. Some argue…
Michelle Atlas-Quinn, J.D.

State RIA Enforcement: What Advisors Need To Know
State securities regulators play a crucial role in overseeing the activities of registered investment advisors (RIAs) within their jurisdictions. Understanding…
Michelle Atlas-Quinn, J.D.

Anticipating Document Review Deficiencies: A Case For Acting On AdvisorLaw’s Recommendations
In December 2022, an SEC-registered advisor came to AdvisorLaw for our standard compliance consulting services. As a part of those…