Worried That Your Next SEC Audit Will End in Fines? TAKE THE ASSESSMENT

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Category: Arbitration
- What Happens When An Investor Files Arbitration Against Me?
- Conflict Resolution
Category: Blog
- Stay Compliant or Grow? You Don’t Have to Choose
- SEC’s 2025 Examination Priorities for RIAs and Broker-Dealers
- Have You Been Filing?
- Preparing for SEC Audits: Expectations and Outcomes Every RIA Should Know
- Do You Need To File Form 13-F?
- The SEC’s Focus on Off-Channel Communications: A Compliance Guide
- The AML Rule For RIAs
- A Collaborative Approach to Risk Mitigation
- The True Cost of Compliance: Why Handling It Yourself Is Hurting Your Business
- The New Marketing Rule For Investment Advisors
- Proactive Compliance: Mitigate Risks & Stay Ahead of Regulators
- Understanding the FTC’s Non-Compete Ban
- 7 Tips for Reducing Stress in a World of Compliance
- Compliance Challenges that keep Executives up at Night
- Can I Outsource Compliance Services?
- What does the Outsourced Compliance Department Include?
- 5 Easy Steps to Accurate Valuations for Alternative Investments
- 8 Things You Should ABSOLUTELY Know Before You Go Into A FINRA OTR
- What is Form ADV and Why Does it Matter for RIAs?
- 10 Reasons Why You Should NEVER DIY a Private Investment Fund
- 3 Things You Need to Know About Proxy Voting for Your Clients
- The SEC’s New Risk Alert for Newly Registered RIAs
- What Every Advisor Should Know About SEC Investigations
- What to Know About FINRA’s Expungement Rule Changes
- What You Should Know Before Bringing on a Partner in Your Business
- 8 Things to Know if You’ve Been Named in a FINRA Arbitration
- What to Do If You’re Under Securities Investigation: 10 Tips from a Securities Lawyer
- Breaking Away: Understanding Contracts When Leaving Your Firm
- Navigating an SEC Investigation: What to Expect and How to Protect Yourself
- SEC Violations: What You Need to Know
- Private Equity Fund Structure 101
- SEC Custody Rule Explained: What Investment Advisers Should Know
- Inside FINRA Rule 3110: Understanding the Framework for Risk Management
- What is Regulatory Compliance? 5 Best Practices Every Organization Should Follow
- Litigating Class Action Securities Claims: Challenges and Opportunities
- Your Guide to the Series 65 Exam: All You Need to Know
- Get It Right: 5 Reasons You Need Legal Support for Private Funds
- Private Funds, the SEC, and the Law: Which Rules Apply?
- A Step-by-Step Guide to Forming Private Funds
- Can an Alleged SEC Violation Be Settled?
- How To Prepare for Arbitration: 5 Essential Tips
- The Role Of Broker-Dealer Compliance Programs
- What to Know Before You Get Broker-Dealer Registration Services
- FINRA Expungement Cases: The Importance of Expert Witnesses
- SEC Plans to Focus Its Attention on Recently Adopted Rules
- How An Attorney Can Help With RIA Registration
- Regulation in an Online World
- 5 Steps to Prepare Your Firm for a Potential Recession
- What is Fiduciary Duty and What Does that Mean For Your Firm?
- 7 Issues for Which Financial Advisors and Firms Should Consider Hiring a Regulatory Defense Attorney
- SEC Division of Enforcement Examinations and Enforcement Actions
- I’m an RIA, and I Need to Fire an Employee. How Can I Avoid a Lawsuit for Wrongful Termination?
- Four Essential Contract Components for Breakaway RIAs
- The CFP Board Imposed Public Sanctions on 40 Individuals. Don’t Let This Happen to You!
- Will the Biden Administration’s SEC Enact More Regulations and Enforcement?
- How Advisors Can Use Client Testimonials Under New SEC Rule
- New SEC Rules Allow Financial Advisor Testimonials
- What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules
- What is the SEC focusing on in 2021?
- Spring cleaning has begun and the SEC is full steam ahead
- Thought 2020 (and all its glory) slowed the SEC Down? Think again
- PPP The Sequel
- A holiday present from the SEC: The Marketing Rule
- Don’t Rule Out the Top Guns
- They’re setting their scope for the next kill
- Social Dilemma: SEC Edition
- Now your advisors are working from home. So, have you reviewed their remote/branch office?
- COVID-19 Brings Risks – and we aren’t talking Health Risks
- Let the Exams Continue..
- “Law Without Penalty Is Advice.”
- SEC Adopts Amendments to Procedures for Exemptive Relief
- 40 Years Without Change to Form 13F. Overdue? Absolutely!
- What are you missing in your management of Private Funds?
- Update: SEC Rule Change Proposal!
- What violations are catching FINRA’s attention?
- Are your disclosures (or lack of) going to get you in trouble?
- The SEC is Proposing a Modernization of the Framework for Fund Valuation Practices
- Is your Cybersecurity Program Air Tight?
- FAQS on Regulation Best Interest
- What You DIDN’T Know About Making Recommendations
- Developing a Business Strategy
- Every Office Has A Whistleblower Waiting For You to Slip Up
- First-loss platforms
- FINRA Requiring Encryption of Laptops
- FORM ADV CHANGES GO INTO EFFECT IN OCTOBER
- Series 50 Exam
- The Evolving Landscape of LGBT Rights and Financial Considerations in the United States
- Employing High-Risk Brokers Is Going to Cost More
- Are You Safe From Ransomware?
- Sanction Guidelines Revised
- Military Retirement Planning
- The Grass Is Greener On The Other Side
- Reliance on a Compliance Consultant is not a Defense
- SEC Adopts JOBS Act Amendments
- S-Corp Fails to Shield Financial Adviser
- You Got Spoofed!
- Whistleblower Tips Blowing Up
- The Vulnerability of Baby Boomers
- Robo-advisers Aren’t Just For Millennials
- DOL Releases First FAQs for New Fiduciary Rule
Category: Business
- Are generational differences impacting your business? Are you communicating effectively?
- 7 things advisers wish they knew BEFORE they decided to deal with the SEC
- Cybersecurity: Are You Protected?
- Does the word “no” scare you? Are your sales conversations failing? Are your conversion rates low?
- Employee Termination Practices: Minimizing Legal Risks and Ensuring Compliance
- Navigating Challenges and Maximizing Opportunities for Financial Advisers in 2024
- What the hell did I get myself in to?!
- Newsletters
- How to Prepare for a Recession
- It’s All About How You Sell Yourself
- Marketing for the Holidays
- 5 Social Media Takeaways
- Tax Planning for Financial Advisors
- Steve’s Corner: Forecast or Fortune Telling?
- Using Client Usernames and Passwords
Category: Compliance
- FINRA’s Podcast Beyond Hollywood: Money Laundering in the Securities Industry
- Form U-5 & Expungements
- Part 3: Expert Interview with Leila Shaver
- Part 2: Expert Interview with Leila Shaver
- Folio Institutional Expert Interview with Leila Shaver
- Annual Compliance Reviews
- Do you have clients living in the EU? You may be subject to the GDPR.
- Advertising Issues for RIAs
Category: Cybersecurity
Category: Data
Category: Estate Planning
- 10 Types of Trusts: A Quick Look for the RIA
Category: FINRA
Category: Industry News
- Folio Institutional Interview – Part 1
- Folio Institutional Interview – Part 2
- D & I Panel Discussion – Women in Finance
- SEC Enforcement Division Issues Report on Priorities and FY 2017 Results
Category: Interview
- High Velocity Radio
- Stop Viewing Compliance as Your Business-Prevention Department
- Folio Institutional Interview – Part 3
Category: Investment
Category: Legal
Category: Marketing
Category: Media
- Phenomenal Women Of 2021
- Leila Shaver Named A Rising Star for Two Consecutive Years by Super Lawyers
- FinancialAdvisors.com Interviews Leila Shaver
- The Changing Landscape of RIA Sales: Insights from Leila Shaver
- What RIAs Need to Know About the New Marketing Rules
- Wealthender’s new SEC compliance Certified Advisor Reviews
Category: Podcast
Category: RIA
Category: SEC
Category: Social Media
Category: Taxes
Category: Testimonial
Category: Uncategorized
Category: Videos
Category: Why