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Learn how to prepare for arbitration

How To Prepare for Arbitration: 5 Essential Tips

Whether you possess extensive experience in the business world or are a budding entrepreneur, it is...
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...
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...
7 Things Consider Hiring a Regulatory Defense Attorney

7 Issues for Which Financial Advisors and Firms Should Consider Hiring a Regulatory Defense Attorney

As a financial advisor, your primary focus lies in excelling at what you do best: generating wealth...
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...
Will the Biden Administration's SEC Enact More Regulations & Enforcement?

Will the Biden Administration’s SEC Enact More Regulations and Enforcement?

Will the Biden Administration’s SEC Enact More Regulations and Enforcement? Gary Gensler, the...
A guide for advisors on leveraging client testimonials effectively and compliantly under the updated SEC regulations.

How Advisors Can Use Client Testimonials Under New SEC Rule

Jeff Berman quotes Leila Shaver on the new Marketing Rule and what advisers can expect as the SEC...
Adviser Mergers And Acquisitions Are Rising

New SEC Rules Allow Financial Advisor Testimonials

Leila Shaver, securities attorney and founder of My RIA Lawyer in Atlanta, says advisors will have...