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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...

4 Vital Components Of Your Contract | Atlanta, GA | My RIA Lawyer

Four Essential Contract Components for Breakaway RIAs

It may sound obvious, but before you consider becoming a breakaway RIA, it’s essential to...

A guide for advisors on leveraging client testimonials effectively and compliantly under the updated SEC regulations.

How Advisors Can Use Client Testimonials Under New SEC Rule

Jeff Berman quotes Leila Shaver on the new Marketing Rule and what advisers can expect as the SEC...

New SEC Rules Allow Financial Advisor Testimonials

Leila Shaver, securities attorney and founder of My RIA Lawyer in Atlanta, says advisors will have...

What RIA Must Know About the New SEC Modernized Marketing Rules

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules Most...

What Is The SEC Focusing On In 2021? | My RIA Lawyer

What is the SEC focusing on in 2021?

What is the SEC focusing on in 2021? You may be wondering if you are on the list for an