The arbitration process can be long and burdensome, with multiple pre-hearing conferences,...
Are you an RIA who has questions about terminating an employee? Do you want to ensure that you...
It may sound obvious, but before you consider becoming a breakaway RIA, it’s essential to...
If you’re an advisor who is also a Certified Financial Planner, the Certified Financial Planner...
Will the Biden Administration’s SEC Enact More Regulations and Enforcement? Gary Gensler, the...
Jeff Berman quotes Leila Shaver on the new Marketing Rule and what advisers can expect as the SEC...
Leila Shaver, securities attorney and founder of My RIA Lawyer in Atlanta, says advisors will have...
What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules Most...
What is the SEC focusing on in 2021? You may be wondering if you are on the list for an
