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what is regulatory compliance

What is Regulatory Compliance? 5 Best Practices Every Organization Should Follow

If you run a business, you need to understand regulatory compliance. This means following all laws...

we are here to help with litigating class action securities claim

Litigating Class Action Securities Claims: Challenges and Opportunities

The process of litigating class action securities claims presents both complex challenges and...

The Series 65 exam is part of becoming an RIA

Your Guide to the Series 65 Exam: All You Need to Know

So, you’re interested in becoming a registered investment advisor (RIA)? Well, you’ve...

Lawyers ensure private funds follow compliance rules.

Get It Right: 5 Reasons You Need Legal Support for Private Funds

You need to get it right when managing private funds. You already have your eye set on success. But...

A private fund manager discussing SEC compliance

Private Funds, the SEC, and the Law: Which Rules Apply?

A private fund refers to an entity that consolidates funds from numerous investors without actively...

Guide to Forming Private Funds: Step by Step - My RIA Lawyer

A Step-by-Step Guide to Forming Private Funds

Are you filled with entrepreneurial aspirations and eager to invest in a lucrative venture without...

SEC settlement concept, a lawyer shaking hands

Can an Alleged SEC Violation Be Settled?

When the Securities and Exchange Commission (SEC) initiates investigations into alleged violations...

Learn how to prepare for arbitration

How To Prepare for Arbitration: 5 Essential Tips

Whether you possess extensive experience in the business world or are a budding entrepreneur, it is...

Broker-Dealer compliance concept image,

The Role Of Broker-Dealer Compliance Programs

If you’re in the investment business, you’re probably aware of the importance of...