Navigate the complexities of financial advising with AdvisorLaw's Industry Insights. Our experts provide actionable analysis on critical areas impacting your practice, including the latest FINRA and SEC/state regulations for brokers, RIAs, and IARs, the nuances of dual registration, strategic insights into Mergers & Acquisitions, evolving enforcement trends, practical regulatory compliance strategies, and effective succession planning. Stay informed, compliant, and positioned for growth with AdvisorLaw's perspectives.
Introducing OCCO-Lite: Compliance Without The Headache
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\nRead More...\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nCompliance shouldn’t come at the cost of your capacity to run your firm.\n\nAs an RIA, you went independent for freedom—not to be buried in checklists, audits,...
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State-Registered RIAs: Navigating NASAA’s Proposed Marketing Rule Changes
For years, state-registered investment advisers (RIAs) have faced a unique challenge: advertising rules that put them at a competitive disadvantage in comparison to their SEC-registered peers.
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Launch Your Independent RIA with Trusted Regulatory & Business Support
Launch your independent RIA with confidence. Get expert support for RIA registration, smooth advisor transition, and business agreement review to minimize risk and ensure regulatory compliance.
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FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\nRead More...\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nOn September 18, 2025, a veteran financial advisor from Columbia, South Carolina, achieved a significant victory, winning a FINRA expungement to remove an unwarranted entry from...
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The High Cost of RIA Compliance Oversight: A Cautionary Tale
In the world of financial advising, trust and regulatory compliance are non-negotiable. Yet even with the best intentions, a single oversight can lead to significant risk.
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CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Has an unproven BrokerCheck claim hurt your reputation? The CFP Board agrees the data is flawed. Discover how to challenge and remove misleading disclosures.
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Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\nRead More...\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nFINRA Panel Removes Outdated Annuity Dispute from Virginia Advisor's Profile\n\nOn September 5, 2025, a Virginia investment advisor successfully achieved a FINRA expungement, clearing an outdated customer...
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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, independent chief compliance officer.
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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 communication risks. Earn CE credit.
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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 advisor and what you can do about it.
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From Fired to Free: An Executive’s Victory in a FINRA U5 Expungement Case
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\nRead More...\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nOn August 20, 2025, a seasoned business development executive in Indianapolis, Indiana, won a significant legal victory with a FINRA U5 expungement award. The decision cleared...
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FINRA U5 Expungement: California Advisor Clears BrokerCheck of Misleading Termination Disclosure
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\nRead More...\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nIn a landmark victory, a California financial advisor has successfully restored his professional reputation by obtaining a FINRA Form U5 expungement on August 15, 2025. This...
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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 a career. Yet too many advisors enter the M&A process...
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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 otherwise-perfect Central Registration Depository (CRD) and BrokerCheck® records.
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How to Start an RIA: The Ultimate Guide for Financial Advisors
Navigate the complexities of RIA registration with confidence. Our guide covers everything from SEC and state requirements to business formation, helping you launch your registered investment advisor firm with ease.
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AdvisorLaw: 10 Years Empowering Advisors
As we celebrate ten years of relentless advocacy and innovation, AdvisorLaw continues to set the standard in the financial services industry. From day one, our mission has been clear: to...
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Part 3: Safeguarding Your RIA & Understanding SEC Consequences
Protect your RIA from SEC penalties. Learn the high costs of noncompliance and how expert support from AdvisorLaw ensures robust RIA supervision and tailored compliance solutions to safeguard your firm's...
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Virginia Advisor Clears Records With Customer Dispute Expungements
In October 2024, a Virginia Beach-based advisor of ten years sought to rectify his professional record by pursuing expungement of two customer dispute disclosures listed on his Central Registration Depository...
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Texas Advisor Clears Records With Successful Expungements In FINRA Arbitration
Over nearly 25 years in the industry, this Texas-based financial advisor (FA) acquired two customer disputes on his Central Registration Depository (CRD) and public BrokerCheck® records.
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California Adviser Restores Clean Record With U5 Termination Disclosure Expungement
In July 2021, a San Francisco-based investment advisor and former broker faced a negative termination disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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