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adding a partner to an existing business

What You Should Know Before Bringing on a Partner in Your Business

Before committing to a business partnership, you need to have crucial conversations. A partnership,...

finra arbitration process

8 Things to Know if You’ve Been Named in a FINRA Arbitration

Receiving notice that you’ve been named as a respondent in a FINRA arbitration case can induce...

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...

contracts when leaving your firm

Breaking Away: Understanding Contracts When Leaving Your Firm

Are you considering breaking away from your current firm? If so, you’re probably filled with...

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...

private equity fund structure 101

Private Equity Fund Structure 101

You’ve probably heard the term ‘private equity’ thrown around in financial...

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...

finra 3110

Inside FINRA Rule 3110: Understanding the Framework for Risk Management

In the world of financial services, risk management plays a crucial role in safeguarding the...