Try our complimentary “Introduction to RIA Compliance” course today VIEW COURSES

SEC

10 things you SHOULD know about SEC investigations

What Every Advisor Should Know About SEC Investigations

No advisor desires to utter the feared word – investigation. The mere mention of it evokes...

sec investigations and enforcement actions

What to Do If You’re Under Securities Investigation: 10 Tips from a Securities Lawyer

As a financial advisor, receiving a notice or phone call indicating that you are the subject of an...

Robo-advisers Aren’t Just For Millennials

Navigating an SEC Investigation: What to Expect and How to Protect Yourself

Discovering that you are the focus of an investigation by the Securities and Exchange Commission...

SEC Violations: What You Need to Know

The Securities and Exchange Commission (SEC) plays a vital role in safeguarding the integrity of...

Dive deep into the SEC's custody rule, understanding its implications, requirements, and relevance for your financial operations.

SEC Custody Rule Explained: What Investment Advisers Should Know

As an investment adviser, you are familiar with the intricate nature of regulatory laws and...

A private fund manager discussing SEC compliance

Private Funds, the SEC, and the Law: Which Rules Apply?

A private fund refers to an entity that consolidates funds from numerous investors without actively...

SEC settlement concept, a lawyer shaking hands

Can an Alleged SEC Violation Be Settled?

When the Securities and Exchange Commission (SEC) initiates investigations into alleged violations...

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...