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 Rise Of Independent Registered Investment Advisers: A Shift Away From FINRA
In recent years, a significant trend has emerged in the world of financial advising. An increasing number of financial advisors are making the bold decision to part ways with their...
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Strategically Selling A Financial Advisory Practice: Your Guide To A Successful Transition
Considering selling your financial advisory business? Learn essential steps for a successful transition, including timing, valuation beyond the "3X" rule, buyer options (internal vs. external), and presenting your practice's value....
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43-Year Veteran Advisor In Colorado Restores Impeccable Records With Expungement
An advisor in Colorado with a 43-year career had an impeccable record, aside from one denied customer dispute from 2012. He hired HLBS Law to seek expungement of the disclosure...
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Arizona-Based IAR’s Records Once Again Perfect After Customer Dispute Expungement
This Arizona-based investment adviser representative (IAR) had a disclosure-free record since early 2012 until a settled customer dispute hit his records in mid-2020. Eager to get his perfect records back,...
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Dual-Registrants FINRA | Brokers RIA Setup & Registration SEC & State | RIAs & IARs Starting your own RIA
Dual Registration Dilemma: Navigating FINRA & SEC Regulatory Shifts
Over the past decades, the financial advisory landscape has been experiencing a significant transformation with the rise of hybrid advisor-brokers who are registered with both the Securities and Exchange Commission...
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RIA M&A Activity Rebounds: Opportunities & Challenges For Wealth Managers & Advisors
In the ever-evolving landscape of finance and investment, mergers and acquisitions (M&A) serve as barometers of market health and investor confidence. Recent reports have shed light on a significant resurgence...
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Navigating Criminal Disclosures On FINRA’s Form U4
The Financial Industry Regulatory Authority (FINRA) has stringent regulations in place. As part of these regulations, individual financial advisors are required to disclose any criminal issues or allegations on their...
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Tucson Advisor Clears Records With Double Expungment
An investment adviser representative (IAR) in Tucson, Arizona has been in the industry since 1987. His records were stellar, aside from two customer disputes that had hit his records between...
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How To Buy A Registered Investment Advisor (RIA) Business
Are you considering acquiring a registered investment advisor (RIA) business or buying a financial planning practice? The process may seem daunting, but with the right knowledge and guidance, you can...
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California Advisor’s Record Is Cleared With Three-Disclosure Expungement
This advisor based in northern California has been in the industry since 2005. Between 2018 and 2019, his otherwise perfect record was marred by three customer dispute disclosures. All three...
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2024 SEC Examination Priorities: What RIAs Need To Know
The U.S. Securities and Exchange Commission (SEC) has once again unveiled its 2024 Examination Priorities. This annual release is a crucial document for registered investment advisors (RIAs), serving as a...
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30-Year Industry Veteran Restores Records With ARS Dispute Expungement
This Dallas-based advisor with over 30 years in the financial services industry had an impeccable record, aside from one customer dispute lodged in 2008. This advisor’s case was unique in...
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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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