Category Archive

Investment Adviser Representatives (IARs) Must Complete Continuing Education Program To Maintain Registration

Do you have a dedicated chief compliance officer?

RIAs Must Be In Full Compliance With SEC’s Marketing Rule

SEC Prepares for Cybersecurity Crackdown

The RIA Compliance Lifehack

How to Prepare for the SEC’s 2022 Exams

SEC and DOL Implement Several Significant Changes

Private Equity Rules Set To Change

How does AdvisorLaw charge for ongoing compliance?

Mock Exams — Integral Tools Keeping RIAs Compliant