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.
5 Takeaways From A Live Briefing With Top SEC Officials
Notes from a live SEC exam and enforcement priorities panel: fiduciary duty, AI, private credit, and what actually happens when you get a deficiency letter.
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SEC Risk Alert: 6 Annual Compliance Review Mistakes That Examiners Keep Finding
The SEC’s Division of Examinations flagged 6 recurring problems in investment adviser annual reviews under Rule 206(4)-7. Get the checklist and fix them before your next exam.
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Decoding the SEC Cybersecurity Document Request: What Examiners Hunt For First
SEC cybersecurity exam prep for RIAs: see what EXAMS asks for in a document request and the evidence examiners look for under Reg S-P.
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RIA Valuations in 2026: How to Maximize Your Sale Price in a Cooling Market
Learn what drives RIA valuations in 2026, how acquisition multiples are changing, and how to maximize your practice's value before selling.
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SEC Exam Priorities for Q4 2026: Reg S-P, Alt Investments & AI
The SEC's Q4 2026 exam priorities target Reg S-P compliance, alternative investment suitability, and AI oversight. Get your RIA exam-ready with AdvisorLaw.
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FINRA Arbitrator Expunges False Form U5 Allegations For California Financial Advisor
A FINRA arbitrator found a Form U5 termination disclosure defamatory and recommended expungement, changing the termination reason to Voluntary.
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Should financial advisors resign while under investigation? (What Actually Happens)
If your firm has opened an internal investigation, you’re probably asking one question: Should I resign now—or wait to see what happens? This is one of the most important decisions...
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FINRA Panel Expunges Unauthorized-Trading Claim For Illinois Financial Advisor
A FINRA Panel granted expungement of an unauthorized-trading claim for an Illinois advisor after a third-party manager made the trade he didn’t direct.
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FINRA Panel Expunges Erroneous Unsuitability Claim For Veteran Michigan Financial Advisor
A Michigan financial advisor with more than three decades serving the industry sought FINRA expungement of a customer dispute that had followed him since 2014. The underlying claim accused him...
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FINRA Panel Expunges Five Customer Disputes For Veteran Florida Financial Advisor
A FINRA Panel granted expungement of five market-loss customer disputes for a Boca Raton advisor, finding the claims erroneous and false.
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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?
As digital assets become a permanent fixture in client portfolios, many registered investment advisers (RIAs) are facing a critical regulatory gap.
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Portland FA Wins Expungement Of Misrepresentation Claim In FINRA Arbitration
A unanimous FINRA Panel expunged a $50,000 misrepresentation claim from a Portland advisor’s CRD and BrokerCheck records, finding it factually impossible.
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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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FINRA Panel Grants Expungement Of Unsuitability Allegations For Baton Rouge FA
Read the FINRA arbitration award granting a total expungement of false REIT unsuitability allegations for a Baton Rouge financial advisor represented by AdvisorLaw.
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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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