23 Apr 7 things advisers wish they knew BEFORE they decided to deal with the SEC
Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one simple mistake could ruin your career.You can...
Blog
16 Apr Cybersecurity: Are You Protected?
Understanding Cyber Insurance Guest Blog Post by Linda M. Vecoli CPCU RPLU and Emma Feloni Are you concerned about the security of your data? Do you know...
12 Apr Do you know what happened this past week?
[video width="1920" height="1080" mp4="https://www.myrialawyer.com/wp-content/uploads/2019/04/10-things-you-need-to-know-41219.mp4" autoplay="true"][/video]FINRA provides more guidance on communications with clients after brokers leave. FINRA moves forward on new rule proposals for broker-dealers...
04 Apr Does the word “no” scare you? Are your sales conversations failing? Are your conversion rates low?
Have you been taught to ask questions that will lead a potential client to say "yes"? Have you had a client say "yes" but then...
19 Mar Are you worried about being sued for wrongful termination?
Are you worried about having to pay unemployment? Are you unsure of how to handle a meeting where you are terminating an employee? Do you...
12 Mar Form U-5 & Expungements
U-5 Summary The Financial Industry Regulatory Authority (FINRA) establishes rules and regulations for broker-dealer member. This includes termination of employees. Within 30 days of terminating an...
05 Mar Part 3: Expert Interview with Leila Shaver
Compliance in the Internet Age: Social Media & Digital Marketing Guidelines Part 3 of our Expert Interview with Leila Shaver, of My RIA LawyerThis post is part...
26 Feb Part 2: Expert Interview with Leila Shaver
Compliance in the Internet Age: Regulators and Compliance Consultants Part 2 of our Expert Interview with Leila Shaver, of My RIA LawyerThis post is part of the...
19 Feb Folio Institutional Expert Interview with Leila Shaver
Compliance in the Internet Age: Understanding Advertising, Fees, and Suitability Requirements Part 1 of our Expert Interview with Leila Shaver, of My RIA LawyerThis post is...
12 Feb 5 Obstacles Advisers Are Facing in 2019
Advisers can expect to face some challenges in 2019. Many of these challenges also apply to entrepreneurs in other industries. Generational differences, for example, are...