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...

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...

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...

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,...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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....

"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,...

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...

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...