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.
CE Course: Mastering the SEC Marketing Rule
We are sharing the key takeaways from the highly-rated CE course, Mastering the SEC Marketing Rule: What Every Investment Adviser Rep Needs to Know in 2025, hosted by the Financial...
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Advisor Clears Records Of Customer Disputes
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.
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The Ultimate Guide: How to Start an RIA
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.
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CE Credit Course: Navigating Common Deficiencies & SEC Priorities
Stay ahead of SEC examination priorities. Learn how to navigate the shift toward AI oversight, Reg S-P updates, and Form U5 weaponization with AdvisorLaw.
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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...
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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...
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Virginia Advisor Clears Records With Customer Disputes
In October 2024, a Virginia Beach-based advisor of ten years sought to rectify his professional record by pursuing expungement of two customer dispute disclosures listed on his Central Registration Depository...
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Advisor Clears Records With Successful Expungements
Over nearly 25 years in the industry, this Texas-based financial advisor (FA) acquired two customer disputes on his Central Registration Depository (CRD) and public BrokerCheck® records.
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Adviser Restores Clean Record With U5 Expungement
In July 2021, a San Francisco-based investment advisor and former broker faced a negative termination disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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AdvisorLaw Spotlight: Austin Davis, J.D.
Meet Austin Davis, Esq. — an invaluable associate attorney at AdvisorLaw. Austin has an impressive track record, having successfully cleared advisors' names in numerous expungement cases.
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Part 2: Strategies For Risk Mitigation & The Importance of Ongoing Reviews
In Part 1, we examined the complexities of SEC supervisory requirements and the risks faced by small RIAs. This second installment shifts to covering actionable strategies for crafting tailored compliance...
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CE Credit: Is It a Complaint? Protecting Your Career in Today’s Regulatory Climate
Is that client email a formal complaint? Master RIA complaint handling best practices. Learn U4 reporting triggers, E&O requirements, and expungement with AdvisorLaw
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Part 1: The Complexities Of RIA Supervision
Navigating RIA supervision? Discover the complex challenges small firms face, SEC requirements, and the risks of inadequate compliance in Part 1 of our series. Learn why robust oversight is crucial...
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Misleading Termination Expunged From Advisor’s Record
Financial advisor's misleading Edward Jones termination expunged from FINRA CRD & BrokerCheck. Learn how to clear false U5 disclosures & restore your career.
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Now Offering: Private Fund Formation & Ongoing Compliance Services
AdvisorLaw is excited to announce a comprehensive new service line tailored specifically for financial professionals looking to launch and manage private funds.
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Advisor Restores Perfect Public Records Through Expungement
In June 2024, a North Carolina-based financial advisor (FA) faced a customer dispute disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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FINRA Grants Expungement Of Advisor’s Misleading Termination
A Connecticut financial advisor successfully secured expungement of a false 2024 termination disclosure related to "underperformance" from his FINRA CRD and BrokerCheck records. FINRA's decision against Resolute Investment Distributors highlights...
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Unlock RIA Growth: How Compliance Automation Drives Efficiency
In the complex world of RIAs, true compliance is essential for building trust and running a successful business. However, relying on manual compliance methods can drain resources and slow you...
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30-Year Industry Veteran Expunges Termination Disclosure
In July 2024, a seasoned financial advisor (FA) in Glencoe, Illinois, faced a misleading termination disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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Regulatory Expectations In The Digital Age
The financial world thrives on connection — it's built on conversations, insights shared, and relationships nurtured. But in today's hyper-connected reality, the very tools that strengthen those connections can become...
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