06 Sep Steve’s Corner: Forecast or Fortune Telling?
Forecast or Fortune Telling?A recent survey found that the number one use of smartphones was to access weather forecasts. People plan their activities and actions...
Blog & News
24 Aug FINRA Expungements
FINRA and the SEC seek to make expungements more difficult.BackgroundThrough the expungement process, associated persons may seek to remove allegations made by customers from the...
14 Feb SEC Exam Priorities for 2018
On February 7th, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its annual examination priorities memo for 2018, providing insight into what the...
01 Jan December 2017 Newsletter
Click here to check out our December 2017 newsletter!Be sure to sign up to get all of My RIA Lawyer’s newsletters delivered straight to your...
29 Nov SEC Enforcement Division Issues Report on Priorities and FY 2017 Results
The Securities and Exchange Commission’s Enforcement Division issued a report highlighting its priorities for the coming year as well as a review of enforcement actions that took...
14 Nov November 2017 Newsletter
Nov 2017 Newsletter- RIA Click the link above to access our newsletter. Be sure to sign up to get all of My RIA Lawyer's newsletters delivered...
06 Oct Advertising Issues for RIAs
The Office of Compliance Inspections and Examinations ("OCIE") has provided a list of RIA related advertising issues that are most frequently identified in deficiency letters....
19 Sep SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds
The SEC charged the investment services subsidiary of SunTrust Banks with collecting more than $1.1 million in avoidable fees from clients by improperly recommending more...
28 Jul Every Office Has A Whistleblower Waiting For You to Slip Up
The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to a company insider for providing ongoing information...
09 Jul First-loss platforms
Emerging hedge fund managers are finding it harder than ever to raise capital. They lack a sufficient track record, face compliance restrictions and suffer from...