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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...
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...
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 registration concept photo

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...
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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Regulation in an Online World

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

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