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.
SEC Marketing Rule Compliance: Essential Tips For RIAs
Marketing reviews for registered investment advisers are not a one-size-fits-all approach. The SEC's marketing rule (17 CFR § 275.206(4)-1), effective May 4, 2021, ushered in a new era of regulations...
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Financial Advisor Exit Strategies: A Smooth Transition To Retirement
Financial advising offers a rewarding career, but navigating a successful exit can be tricky. This guide provides a roadmap for financial advisors (FAs) and registered investment advisors (RIAs) seeking a...
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South Dakota Advisor’s Termination Disclosure Revised After AWC, Fine, & Suspension
In 2022, this South Dakota-based investment adviser representative (IAR) and former broker was 12 years into his career in the industry, when he was hit with a termination, a Form...
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The Hidden Costs of Helping Clients: How to Avoid Unintended Custody
Uncover the hidden costs of taking on client custody. Learn how seemingly small favors like becoming a trustee or executor can lead to significant financial burdens and regulatory risks. Protect...
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Advisor Clears Records In Time For 40th Career Anniversary
This California advisor is approaching four strong decades in the financial services industry. Yet his perfect record was recently marred with three settled customer disputes incurred between 2021 and 2023....
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New York Advisor Celebrates 25-Year-Career With Newly Clean Records
A New York-based financial advisor approaching 25 years in the industry had three customer dispute disclosures on his records. Hoping to enter his 25th year with a clear record, he...
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Scrutinizing FINRA’s Budget: Rational Spending or Excess?
A few years ago, AdvisorLaw dug into FINRA’s 2021 annual report and budget and posted a comprehensive breakdown of FINRA’s fee increases at the time. Specifically, we noted how there...
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Texas Advisor Wins Expungement Of Two Disputes Filed Out Of Customer Frustration
An advisor out of Texas who has been in the industry for more than 25 years had two customer disputes on his otherwise flawless records—both of which were over a...
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Key Compliance Strategies For RIAs Post-Acquisition
When a registered investment adviser (RIA) goes through an acquisition, the transition period is critical for maintaining seamless operations and ensuring adherence to regulatory requirements. Understanding compliance obligations is essential...
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Finding The Right RIA Compliance Partner: Ditch The “One-Size-Fits-All” Approach
In today's RIA compliance landscape, you have a choice. You can go with a large, private-equity-backed firm that offers a one-size-fits-all approach, or you can partner with AdvisorLaw, a client-focused...
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AdvisorLaw’s Criminal Expungement Week for Financial Advisors
Does an outdated criminal disclosure hold you back? You're not alone. Millions of Americans face limitations in their careers and personal lives due to past mistakes reflected in their public...
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2017 Termination Wiped From Texas Advisor & CCO’s Records
About 25 years into his career, this Texas-based advisor and CCO had one termination disclosure on his records from 2017. He chose to seek expungement of the disclosure with the...
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California Advisor Restores Perfect Records With Expungement
This California advisor has maintained a perfect public BrokerCheck record since early 1998 — except for a single customer dispute in 2016. In hopes of getting the mark expunged, he...
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10 Questions Wirehouse Advisors Should Ask Themselves Right Now
The world of wirehouse advisors is changing. While some may enjoy a comfortable status quo, a new undercurrent of vulnerability is undeniable. Don't mistake this message for scaremongering — it's...
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Advisor Clears Name After Goldman Sachs Termination
Contact Us Today! Award Date: June 21, 2024Claimant Representative: Chelsea Bauer, J.D., HLBS LawRespondent Firm: Goldman Sachs & Co. LLC Case Objective: This Florida-based investment adviser and former broker has...
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Fort Worth Advisor’s Customer Dispute With $800,000 Settlement Expunged
After more than 20 years in the financial services industry, this advisor had a single customer dispute on his CRD and BrokerCheck records. In hopes of restoring his perfect record,...
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Don’t Be A Statistic: 10 Compliance Fails That Can Sink Your RIA
The world of registered investment advisors (RIAs) is a land of opportunity. But it's also a minefield of regulations. A single misstep can lead to hefty fines, reputational damage, and...
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Staying Compliant: Key Takeaways From The SEC’s Recent Webinar
The SEC recently held a webinar focused on exam priorities and what advisors can expect during the examination process. Here's a breakdown of the key takeaways for registered investment advisors...
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Illinois Advisor Wins Expungement Of Two Settled Claims Covered By E&O Insurance
An Illinois-based advisor who began his career in the industry in 1976 had two customer disputes that he wanted expunged from his records. He hired HLBS Law to take advantage...
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Seeking Freedom? AdvisorLaw Can Help You Launch Your RIA
Are you a financial advisor who’s yearning to break free and build a practice on your terms? Financial advisors are increasingly drawn to the allure of independence. But this path...
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