Facebook-f
Linkedin-in
Youtube
Twitter

Blog

28-12-2020
BLOG, Business, Compliance
A holiday present from the SEC: The Marketing Rule
After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange Commission (the “SEC”) announced some
23-12-2020
BLOG, Business, Compliance
Don’t Rule Out the Top Guns..
The SEC doesn’t back down from a fight no matter the size of the players. Wells Fargo took a hit
07-12-2020
BLOG, Compliance, SEC
They’re setting their scope for the next kill
The SEC hasn’t slowed down their hunt for harmed investors. Oh, no. As of late, more than $3 million has
21-10-2020
BLOG, Business, Compliance
Social Dilemma: SEC Edition
With recent increase in the usage of electronic communication, we thought it necessary to touch on what the SEC is
21-09-2020
BLOG, Compliance, SEC
Now your advisors are working from home. So, have you reviewed their remote/branch office?
As more aggregation takes place in the industry, more firms are supervising advisors located throughout the country.  With the pandemic, this
11-09-2020
BLOG, Business, Compliance
COVID-19 Brings Risks – and we aren’t talking Health Risks
Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic. These have come operationally, technologically, commercially, and
31-08-2020
Business, Compliance
Let the Exams Continue..
The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance
25-08-2020
BLOG, Business, Compliance
“Law without penalty is advice.”
The Securities and Exchange Commission recently announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges
Categories
Recent Posts
Tags
accounting advisers annual business business plan challenges clients communication compliance conflict cybersecurity data defense economy employees estate planning European Union financial FINRA forecast goals government holidays information legal marketing newsletter New Year online outsource pitch recession retirement reviews RIA savings SEC sell shutdown small business social media strategy Success taxes termination

Ready to get your Time Back? Schedule Your

STRATEGY SESSION

Call Us!

770-462-2118

Email Us!

[email protected]

Visit Us!

400 Galleria Parkway | Suite 1500 | Atlanta, Georgia 30339

BUSINESS HOURS

  • Monday: 9 am to 6 pm EST
  • Tuesday: 9 am to 6 pm EST
  • Wednesday: 9 am to 6 pm EST
  • Thursday: 9 am to 6 pm EST
  • Friday: 9 am to 6 pm EST

PRACTICE AREAS

PRACTICE AREAS

NEWSLETTER

  • Please sign up for news and updates. As a thank you, you’ll receive several helpful templates.

Requesting a free report or viewing the information available on this website does not create an attorney-client relationship with My RIA Lawyer, Shaver Law Group, LLC or any of its attorneys. To obtain legal advice about your RIA matter, please engage the services of this law firm or another attorney of your choice. To discuss engaging our firm to help you with your RIA matter, please contact the firm by phone or by submitting an email request through this website.

Facebook-f
Linkedin-in
Youtube
Twitter

Copyright © 2020 | My RIA Lawyer