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AdvisorLaw’s new “Rideshare Program” helps financial advisors expunge customer disputes and U5 termination disclosures

AdvisorLaw is now offering a “Rideshare Program” for financial advisors seeking to expunge customer dispute or U5 termination disclosures for the entire month of December.  With over 40 million visitors to BrokerCheck® every year, you and your teammates can’t afford to lose a client over a meritless disclosure on your record. But we can help to restore your good name. If you …

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The Stakes for a Clean Record are Now Even Higher

Effective June 30, 2020, the SEC is enforcing sweeping reform, titled “Regulation Best Interest”. What does the SEC’s Regulation Best Interest mean for brokers? The New Requirements​Effective June 30, 2020, the SEC is enforcing sweeping reform, entitled “Regulation Best Interest: The Broker-Dealer Standard of Conduct,” commonly referred to as “Reg BI.” At the same time, the SEC is also enforcing the …

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7 Transition Tips for Leaving With a Clean U5

​We’ve all been there: A new and better opportunity presents itself, we’re looking to move up in our careers, or we’re just sick of working for Susan, a hapless manager who is a terrible person on all counts. Regardless of why we pursue newer and better options, it’s essential to act strategically, know your rights, and have a career transition plan in place.