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 Iceberg Of Compliance Costs: What Ineffective RIA Compliance Is Really Costing You
Don't let compliance oversights sink your firm. Discover the hidden costs of ineffective RIA compliance—like lost productivity, client attrition, and firm devaluation—and learn why proactive compliance is your most crucial...
Read More
Dual-Registrants FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration SEC & State | RIAs & IARs
AdvisorLaw’s Defense Division: Safeguarding Careers, Shielding Reputations
Facing FINRA, SEC, or customer disputes? AdvisorLaw is your strategic defense partner. Our dedicated securities attorneys specialize exclusively in BrokerCheck expungement, U4/U5 issues, regulatory investigations, and litigation to safeguard your...
Read More
Navigating an RIA Merger or Acquisition: The Complete Checklist for Buyers & Sellers
Accelerate growth by merging or acquiring an RIA. Our comprehensive guide covers the 5 critical M&A phases: from LOI drafting and due diligence to client transition and regulatory compliance.
Read More
Introducing OCCO-Lite: Compliance Without The Headache
Tired of compliance checklists? Meet OCCO-Lite, AdvisorLaw's new streamlined outsourced CCO service for RIAs. Get dedicated expert support, attorney oversight, and Nexus™ platform access—without the headache or high cost. Focus...
Read More
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.
Read More
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.
Read More
FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
A South Carolina financial advisor successfully cleared a baseless 2011 customer dispute from his BrokerCheck record with a FINRA expungement award.
Read More
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.
Read More
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.
Read More
Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
A Virginia advisor successfully expunged an outdated annuity dispute from his BrokerCheck profile. Discover how HLBS Law fought to clear his name.
Read More
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.
Read More
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.
Read More
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.
Read More
From Fired to Free: An Executive’s Victory in a FINRA U5 Expungement Case
An Indianapolis executive successfully pursued FINRA arbitration to expunge a misleading Form U5 disclosure related to a dismissed criminal charge, restoring his pristine BrokerCheck® record.
Read More
FINRA U5 Expungement: California Advisor Clears BrokerCheck of Misleading Termination Disclosure
A California advisor's career was saved with a successful FINRA Form U5 expungement. Discover how AdvisorLaw cleared a misleading termination disclosure related to social media use.
Read More
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...
Read More
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.
Read More
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.
Read More
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...
Read More
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...
Read More