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.
The SEC’s New Digital Asset Framework: What RIAs Should Be Thinking About
Explore the SEC’s new digital asset framework. Understand how the 5-part token taxonomy, investment contract rules, and marketing focus impact RIA compliance.
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Succession Planning: Why A “Wait-and-See” Strategy Could Cost You Millions In Valuation
Delaying your financial advisor succession planning? Discover why a "wait-and-see" strategy kills firm valuation and how to protect your equity.
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The AI Washing Trap: SEC Marketing Rule Guide for RIAs
Is your marketing creating an SEC nightmare? Discover how the SEC AI marketing rule impacts your RIA’s disclosures, compliance audits, and firm valuation.
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Advisor Transition Blueprint 2026: Protecting Your AUM And Reputation
Protect your AUM and reputation during a firm move. AdvisorLaw provides a 2026 advisor transition blueprint to navigate legal risks, U5 defense, and SEC compliance.
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How To Start An RIA: Step-by-Step Guide, Costs & Legal Considerations
Starting an RIA? Our step-by-step guide covers the registration checklist, Series 65 requirements, startup costs, and legal transition strategies.
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Is Your RIA’s Crypto Strategy Meeting The SEC Fiduciary Standard?
{{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\nAs digital assets become a permanent fixture in client portfolios, many registered investment advisers (RIAs) are facing a critical regulatory gap. A common misconception in the...
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RIA Compliance Blind Spot: The Risk Of A Generic IAR Agreement
Operating without a specialized IAR agreement exposes your RIA to severe legal and compliance risks. Discover the 5 essential elements your contract must include.
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California Financial Advisor Wins FINRA Expungement of False Unsuitability Claim
AdvisorLaw helped a California financial advisor successfully expunge a baseless unsuitability claim related to a life insurance strategy from their BrokerCheck and CRD records.
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RIA Compliance Blind Spot: The Risk Of A Generic IAR Agreement
Protect your RIA from litigation and audits. Learn why generic IAR agreements fail and the 5 essential elements every robust rep contract must include.
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Texas Financial Advisor Wins FINRA Expungement of False Solicitation Allegation
AdvisorLaw helped a Texas financial advisor successfully expunge a baseless unapproved investment solicitation claim from their BrokerCheck and CRD records.
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SEC Regulation S-P Modernization: June 2026 RIA Deadline Guide
Does your RIA meet the SEC's Regulation S-P June 3, 2026 deadline? Learn the new 72-hour vendor breach notification rules, incident response requirements, and how to manage personal device liability.
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FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
Modernizing FINRA Arbitration: The Looming Threat to Form U5 Expungement
FINRA’s Regulatory Notice 26-06 could gut Form U5 expungement. Learn how proposed changes to defamation claims impact advisor reputations in 2026. Act now.
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FINRA Expungement Award: Unsuitability Claims Cleared for Virginia Advisor
Dochtor Kennedy, Esq. of AdvisorLaw secures a unanimous FINRA expungement award clearing false unsuitability and stock pressure allegations for a Virginia advisor.
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The Hidden Multiplier: How Clearing Your Record Today Maximizes Your RIA’s Exit Value
Maximize your RIA practice valuation before an exit. Learn how AdvisorLaw removes meritless IAPD & BrokerCheck disclosures to increase your firm's enterprise value.
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Hawaii Financial Advisor Granted Expungement of Financial Elder Abuse & Unsuitability Allegations
Read how AdvisorLaw helped a Hawaii financial advisor successfully expunge baseless financial elder abuse and unsuitability claims from their BrokerCheck and CRD records.
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FINRA Panel Clears Baseless Advisory Fee Dispute For Florida Financial Advisor
A Florida financial advisor successfully cleared a meritless advisory fee dispute from his record. A FINRA Panel ruled the claim false, confirming that industry-standard fees were fully justified by his...
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RIA Partnership Disputes: The Critical Risk of CRD/IARD Super Account Administrator (SAA) Control
Navigate the risks of an RIA partnership dispute. Learn how 50/50 structures can lead to IARD/CRD deadlocks and how AdvisorLaw provides the specialized counsel needed to manage regulatory transitions.
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FINRA Expungement Award: 6 Customer Disputes Cleared for California Advisor
A unanimous FINRA arbitration panel grants the expungement of six meritless customer disputes for a veteran California financial advisor.
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FINRA Panel Grants Triple Expungement For New York Financial Advisor
A New York financial advisor successfully cleared three meritless complaints from his record. A FINRA Panel ruled the allegations “factually impossible” as the advisor did not even select the investments...
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CE Credit Course: Outsourced CCO (OCCO) Services for RIAs
Is your CCO a bottleneck? Watch AdvisorLaw’s Dave Reichert and Janet Messer break down the benefits of Outsourced CCO (OCCO) services for RIAs. Earn CE credit now.
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