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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...
What Is The SEC Focusing On In 2021? | My RIA Lawyer

What is the SEC focusing on in 2021?

What is the SEC focusing on in 2021? You may be wondering if you are on the list for an 

Stay informed about the SEC's latest regulatory actions and initiatives as they rejuvenate their focus this spring. Ensure your practices are compliant.

Spring cleaning has begun and the SEC is full steam ahead

Spring cleaning has begun and the SEC is full steam ahead In the latest round of SEC Regulation...
Thought 2020 (And All Its Glory) Slowed The SEC Down | Atlanta, GA

Thought 2020 (and all its glory) slowed the SEC Down? Think again

On November 2nd, 2020, the Securities and Exchange Commission (“SEC”) Division of Enforcement...
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...