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.
2021 Claim Expunged For Miami Advisor — Despite Participating Customer’s Opposition
An advisor working in Miami has been in the financial services industry for nearly 35 years. During that time, he maintained spotless records, until he was hit with a customer...
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Demystifying FINRA & The SEC’s Wells Notice
As a financial advisor, you work diligently to navigate the complex regulatory landscape. However, there may come a time when you receive a Wells Notice from the Financial Industry Regulatory...
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Navigating The Transition From Broker-Dealer To RIA: Podcast With Model FA
Are you a financial advisor considering a shift from the world of broker-dealers to the registered investment advisor (RIA) space? The regulatory landscape can be quite different, and it's important...
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Texas Advisor Removes Sole Customer Dispute At FINRA Arbitration
This advisor from the Dallas, Texas area has been in the industry for 19 years. He had excellent CRD and public BrokerCheck records, until June 2020 when he received a...
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Summary of NASAA’s 2023 Investment Adviser Coordinated Exams & Recommendations
The North American Securities Administrators Association (NASAA) conducted its 2023 Investment Adviser Coordinated Exams, providing valuable insights into the regulatory landscape for investment advisers. The exams covered a range of...
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3-Arbitrator Panel Awards Florida Advisor Expungement Of All Public Disclosures
An advisor in Florida who has been in the industry since 2000 had two disclosures on his public records. Both disclosures were the result of closed or denied customer disputes,...
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Starting Your Own Registered Investment Advisor Firm: A Guide to Success
If you're a financial professional with a passion for helping individuals manage their assets and providing financial guidance, starting your own registered investment advisor firm might be the right path...
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Double Customer Dispute Expungement Clears New Jersey Advisor’s Records
This New Jersey-based advisor has been in the financial services industry for nearly 25 years. His records were spotless, until he was hit with two customer disputes between 2011 and...
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FINRA Enforcement: What Every Broker Needs to Know to Avoid Scrutiny
In the financial landscape, where trust and integrity are of paramount importance, regulatory entities like the Financial Industry Regulatory Authority (FINRA) are granted oversight for the purported purposes of maintaining...
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SEC Enforcement: RIAs Under Scrutiny For Marketing Rule Compliance
The Securities and Exchange Commission (SEC) recently made headlines by censuring nine registered investment advisors (RIAs) and imposing combined penalties of $850,000 as part of an ongoing examination of firms'...
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Illinois Advisor Wins Expungement Of 2016 Termination Disclosure
This financial advisor out of Illinois had one termination disclosure on his records over a 35-year career in the industry. Seeking to move forward free of the negative mark, he...
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New Jersey Advisor Wins Customer Dispute Expungement
After 23 years in the financial services industry, this financial advisor in New Jersey sought to expunge the one mark on his otherwise perfect public record. His sole disclosure was...
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Rising Tide: The Urgent Call For Advisor Succession Planning
The financial advisory landscape is on the brink of a significant change due to the looming retirement of a massive number of financial advisors. This wave of retirements is poised...
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Misdemeanor Criminal Charge From 1999 Expunged From Financial Advisor’s Record
A Texas-based advisor who has been in the financial services industry for more than ten years has been dealing with the repercussions of having a criminal disclosure on his records...
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Arizona Advisor Achieves Expungement Of 2011 Customer Dispute
An Arizona-based registered rep with a near-30-year career in the financial services industry had a 12-year-old customer dispute alleging unsuitability on his CRD and public BrokerCheck records. Despite the fact...
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Why RIAs Should Consider Outsourced Chief Compliance Officers
In the ever-evolving financial industry, the role of the Chief Compliance Officer (CCO) has become more critical than ever. The SEC’s Office of Compliance Inspections and Examinations (OCIE) recognizes the...
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FINRA Crackdown — Outside Business Activities
Understanding the regulations and guidelines surrounding outside business activities (OBAs) is crucial for registered representatives in the financial industry. The Financial Industry Regulatory Authority (FINRA) has established specific rules by...
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Georgia Advisor Restores Public Record With Termination Expungement
A FINRA-registered representative in Georgia had a termination disclosure marring her otherwise-perfect, 16-year record of performance in the financial services industry. In hopes of achieving expungement of the mark, she...
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Midwest Advisor Successfully Expunges Criminal Disclosure From 1991
A Midwest-based advisor sought to expunge a criminal disclosure that was the result of a 1991 event. She hired AdvisorLaw to guide her through the expungement process in an Iowa...
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Is FINRA’s small firm governor election process truly fair and transparent?
In the realm of regulatory governance, the Financial Industry Regulatory Authority (FINRA) wields considerable influence over the securities industry's integrity and investor protection. At the heart of this authority lies...
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