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RIA

An RIA doing a review for SEC compliance.

SEC Plans to Focus Its Attention on Recently Adopted Rules

The Securities and Exchange Commission (SEC) has recently implemented multiple rules that impose...
An attorney helping with RIA registration

How An Attorney Can Help With RIA Registration

Registered Investment Advisers, or (RIAs), are financial professionals or companies who guide...
Accessing the world online

Regulation in an Online World

The SEC is on a path to ensure that all forms of finance are fairly regulated. And in a...
Fiduciary Duty

What is Fiduciary Duty and What Does that Mean For Your Firm?

The term “fiduciary duty” is often used in finance, but its meaning may be unclear to...
SEC Division Of Enforcement Examinations & Enforcement Actions

SEC Division of Enforcement Examinations and Enforcement Actions

As an RIA, it is essential for you to stay updated on the operations and examination focus of the...
How Can I Avoid a Lawsuit for Wrongful Termination?

I’m an RIA, and I Need to Fire an Employee. How Can I Avoid a Lawsuit for Wrongful Termination?

Are you an RIA who has questions about terminating an employee? Do you want to ensure that you...
What RIA Must Know About the New SEC Modernized Marketing Rules

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules Most...
SEC's Holiday Gift: The New Marketing Rule - My RIA Lawyer

A holiday present from the SEC: The Marketing Rule

After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange...
Understand the significance of top performers in the financial sector and why they should never be overlooked.

Don’t Rule Out the Top Guns

Don’t Rule Out the Top Guns Regardless of the entities involved, the SEC demonstrates its...