Splitting Away From FINRA: Why Advisors Are Choosing The RIA Path
FINRAâs enforcement actions have been subject to scrutiny, due to the actionsâ rigor and potential for excessive penalties. Some argue…
Michelle Atlas-Quinn, J.D.
State RIA Enforcement: What Advisors Need To Know
State securities regulators play a crucial role in overseeing the activities of registered investment advisors (RIAs) within their jurisdictions. Understanding…
Michelle Atlas-Quinn, J.D.
Anticipating Document Review Deficiencies: A Case For Acting On AdvisorLawâs Recommendations
In December 2022, an SEC-registered advisor came to AdvisorLaw for our standard compliance consulting services. As a part of those…
Wren Green
Outside Business Activities: Minefield For Financial Advisors
Financial advisors must often grapple with the convoluted regulatory system, and one particularly tricky area is reporting outside business activities…
Doc Kennedy, MBA, J.D.
Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement
Over the past 30 years, this California Bay Area advisor maintained perfect records in the industry â except for a…
Doc Kennedy, MBA, J.D.
Starting Your RIA: Considerations For New Advisors
Launching your own registered investment advisor (RIA) is an exciting process that involves clear planning and decision-making. With AdvisorLawâs specialized…