Would you put a for sale sign in front of your house prior to having an idea of what you could get for it, without making improvements to enhance value...

You've probably noticed that the Registered Investment Advisor (RIA) channel is experiencing record-breaking growth. Like you, more and more advisors are realizing that RIAs offer the best of both worlds: happier...

Have you ever heard of Rule 4111? Unless you’re an officer at your firm, it’s unlikely that you have. As AdvisorLaw exclusively represents individual financial advisors, we typically have little...

CFP® professionals have long been subject to a litany of requirements. The new reporting standard, set forth in the CFP Board’s Code of Ethics and Standards of Conduct, expands the...

It’s that time of year again! If your RIA’s fiscal year ended on Dec 31st, 2020, your Form ADV and annual filings are due March 31st, 2021. If little has...

By 2030, Gen X and millennials are expected to inherit more than $23 trillion from prior generations. By 2045, a whopping $68 trillion will have been passed down. As the...

Imagine you’re driving down the highway, when you’re suddenly pulled over and accused of speeding. Do you fight the ticket or pay it? We all know it’s the police's sworn...

Between now and September 30th, all qualifying SBA (7a) loans will: - Be paid directly by the SBA, 3 months of principal and interest, up to $9k per month. - Have...

Change is inevitable, especially in the world of marketing. Time-tested marketing approaches like networking, cold calling, seminars, and door knocking seem to still be working, but only to a certain...

Now is the time to rethink your RIA firm’s compliance and regulatory support. As we regain our footing in 2021, are you confident that your firm’s filings are in order? ...

As we begin the new year and officially close the book on 2020, it’s more important than ever to take control of your online presence and protect your good name....

Launching your own registered investment adviser (RIA) firm is an exciting, but complicated, new chapter in your career as a financial professional. From drafting the ADV to communicating with regulators,...

AdvisorLaw is now offering a "Rideshare Program'' for financial advisors seeking to expunge customer dispute or U5 termination disclosures for the entire month of December. With over 40 million visitors to BrokerCheck® every...

Advisory practices around the U.S. have been faced with a new priority focus: succession planning. With many of the youngest baby boomers approaching their 60s, it’s alarming to learn that...

Over the last five years, Doc Kennedy and AdvisorLaw have been dubbed the "800-pound gorilla" when it comes to FINRA arbitration cases. That reputation has been earned by absolutely dominating the FINRA...

As published in the Federal Register, on June 1, 2020, the SEC approved FINRA’s proposed Rule changes to the customer dispute expungement process. Release No. 34—88945; File No. SR—FINRA—2020—005.  In...

Lately, AdvisorLaw has been hearing from more and more financial advisors who have imperiled their careers with social media posts and comments. We like to say that “it’s a free...

Will investment advisors with customer disputes over ten years old have to disclose them on their Form ADV under the new SEC Regulation Best Interest Rule that’s taking effect after...

When working remotely, there are some things to keep in mind to remain compliant and productive. First, look up your firm’s Business Continuity Plan.Be sure you’re following the written policy...

Proposed rule changes in front of the SEC exponentially increase the minimum fees for FINRA disclosure expungement from $50 to $1,575. So, a typical expungement case would ultimately jump from...