Completing Your Annual Compliance Review: Dos And Don’ts For RIAs
RIA Compliance

Completing Your Annual Compliance Review: Dos And Don’ts For RIAs

As March quickly approaches, RIAs are reminded that it’s time to review their annual compliance. Every year, it’s vital for firms to hold an annual meeting with employees to thoroughly...
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2022 FINRA Enforcement Year-In-Review
FINRA, SEC, State & CFP Board Enforcement

2022 FINRA Enforcement Year-In-Review

Each month, FINRA releases a Disciplinary Action report documenting any enforcement actions brought against its roughly 612,000 registered representatives throughout the year. Compared to FY 2021: Enforcement cases decreased by...
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AdvisorLaw Celebrates Transition Of $700,000 Producer To National Firm
Financial Advisor Transition Successful Transitions

AdvisorLaw Celebrates Transition Of $700,000 Producer To National Firm

AdvisorLaw is proud to announce the transition of a financial advisor from Colorado, who has over 30 years of experience in the wirehouse industry. This individual services largely HNW clients...
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Finding a Custodian That’s Right For Your RIA
RIA Setup & Registration Starting your own RIA

Finding a Custodian That’s Right For Your RIA

There are many important considerations when it comes to choosing a custodian for your RIA. An RIA custodian is an independent, third-party broker-dealer that provides services, such as executing transactions,...
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Can I be terminated due to an investor complaint?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration

Can I be terminated due to an investor complaint?

In this week’s Ask An AdvisorLaw Expert, we’re asking the OG of FINRA industry disputes, Dochtor Kennedy, MBA, J.D., what happens when investors make formal complaints against advisors and how...
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SEC Penalties Prompt RIAs To Employ Greater Compliance Oversight
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

SEC Penalties Prompt RIAs To Employ Greater Compliance Oversight

Over the last year, the SEC rolled out new rules and regulations regarding Form 13F, Form ADV, private funds, marketing and advertising, and environmental, social, and governance disclosures. Now, regulators...
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Ask an AdvisorLaw Expert: Can I form an RIA prior to leaving my current firm?
RIA Compliance RIA Setup & Registration Starting your own RIA

Ask an AdvisorLaw Expert: Can I form an RIA prior to leaving my current firm?

There are a number of important factors that an advisor needs to consider when deciding to leave a firm to form their own RIA. On this week’s Ask An AdvisorLaw...
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Financial Advisors: The time to plan for retirement is now
Mergers & Acquisitions Succession Planning

Financial Advisors: The time to plan for retirement is now

In a new guidance document, the Financial Industry Regulatory Authority (FINRA) sent a stark warning, urging member firms and representatives to form their succession plans as soon as possible. Although...
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Will Your RIA Avoid Our Biggest 2022 SEC Deficiencies?
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

Will Your RIA Avoid Our Biggest 2022 SEC Deficiencies?

AdvisorLaw’s RIA services division has compiled a list of the most common SEC exam deficiencies we saw in 2022. The deficiencies below were found amid compliance documentation from RIA firms...
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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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The Importance Of Keeping Your FINRA Form U4 Disclosures Up-To-Date
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

The Importance Of Keeping Your FINRA Form U4 Disclosures Up-To-Date

Being an investment advisor comes with a lot of responsibility. Not only do you have to keep up with the latest market trends and changes, you also need to make...
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Navigating An Audit From The SEC
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

Navigating An Audit From The SEC

More Registered Investment Advisor (RIA) firms are being audited than ever before. Earlier this year, the U.S. Securities and Exchange Commission (SEC) released a report from the Inspector General's Office...
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Do BrokerCheck disclosures ever fall off automatically?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Do BrokerCheck disclosures ever fall off automatically?

Having a clean public record in the financial services industry is crucial. This week we’re talking with Harris Freedman, J.D. to discuss the types of disclosures that will naturally fall...
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Weaponized Form U5
FINRA Disputes & U5 Terminations

Weaponized Form U5

Any time a rep exists at a firm, whether the reason involves an involuntary discharge, a voluntary resignation, or a rep being permitted to resign, firms and broker-dealers are required...
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Investment Adviser Representatives (IARs) Must Complete Continuing Education Program To Maintain Registration
RIA Compliance

Investment Adviser Representatives (IARs) Must Complete Continuing Education Program To Maintain Registration

At AdvisorLaw, we do our best to keep our clients informed of regulatory changes. Launching our continuing education (CE) offerings is an example of our commitment to helping you stay...
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FINRA’s expungement reform takes a turn for the worse
FINRA Expungement & Arbitration

FINRA’s expungement reform takes a turn for the worse

In August, AdvisorLaw made a public comment concerning FINRA's latest effort to undermine the expungement procedure. We found that FINRA’s proposed rule change not only denies fundamental rights to financial...
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Do you have a dedicated chief compliance officer?
RIA Compliance

Do you have a dedicated chief compliance officer?

Did you know that only 36% of RIA firms have a dedicated chief compliance officer (CCO)? It’s no wonder that compliance teams across the country are being stretched so thin....
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If I’ve been terminated, how long will it be before a Form U5 is filed?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

If I’ve been terminated, how long will it be before a Form U5 is filed?

"Ask An AdvisorLaw Expert" is a video series where we ask some of our most esteemed colleagues questions commonly asked by financial advisors. This week, we're focusing on the topic,...
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Certified Financial Planners Face Tough Enforcement Under Tom Sporkin
FINRA, SEC, State & CFP Board Enforcement

Certified Financial Planners Face Tough Enforcement Under Tom Sporkin

In a recent Q&A with RIAIntel, detection, investigation, and prosecution were top-of-mind for Tom Sporkin, CFP® Board Managing Director of Enforcement. Sporkin says the Board has been “doing absolutely everything...
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RIAs Must Be In Full Compliance With SEC’s Marketing Rule
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

RIAs Must Be In Full Compliance With SEC’s Marketing Rule

Are you ready for full enforcement of the SEC’s new marketing rule? Registered investment advisers (RIAs) regulated by the Securities and Exchange Commission (SEC) are required to fully comply with...
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