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What to Know Before You Get Broker-Dealer Registration Services

Entering the financial world and becoming a broker-dealer can be a complex endeavor, but...

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FINRA Expungement Cases: The Importance of Expert Witnesses

Have you ever been wrongfully accused of something? Most of us have, at some point in our lives,...

An RIA doing a review for SEC compliance.

SEC Plans to Focus Its Attention on Recently Adopted Rules

The Securities and Exchange Commission (SEC) has recently implemented multiple rules that impose...

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How An Attorney Can Help With RIA Registration

Registered Investment Advisers, or (RIAs), are financial professionals or companies who guide...

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Regulation in an Online World

The SEC is on a path to ensure that all forms of finance are fairly regulated. And in a...

Update Form ADV

5 Steps to Prepare Your Firm for a Potential Recession

As the market experiences increased volatility and investors become uneasy, it is crucial for firms...

Fiduciary Duty

What is Fiduciary Duty and What Does that Mean For Your Firm?

The term “fiduciary duty” is often used in finance, but its meaning may be unclear to...

7 Things Consider Hiring a Regulatory Defense Attorney

7 Issues for Which Financial Advisors and Firms Should Consider Hiring a Regulatory Defense Attorney

As a financial advisor, your primary focus lies in excelling at what you do best: generating wealth...

SEC Division Of Enforcement Examinations & Enforcement Actions

SEC Division of Enforcement Examinations and Enforcement Actions

As an RIA, it is essential for you to stay updated on the operations and examination focus of the...