Try our complimentary “Introduction to RIA Compliance” course today VIEW COURSES
Menu
Call
Contact
Blog

Legal

How Can I Avoid a Lawsuit for Wrongful Termination?

I’m an RIA, and I Need to Fire an Employee. How Can I Avoid a Lawsuit for Wrongful Termination?

Are you an RIA who has questions about terminating an employee? Do you want to ensure that you...
Adviser Mergers And Acquisitions Are Rising

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...
SEC's Holiday Gift: The New Marketing Rule - My RIA Lawyer

A holiday present from the SEC: The Marketing Rule

After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange...
Explore the dangers of predatory financial practices, and learn how to safeguard your practice and your clients.

They’re setting their scope for the next kill

They’re setting their scope for the next kill The SEC hasn’t slowed down their hunt for...

Social Dilemma: SEC Edition

With the growing prevalence of electronic communication in the financial industry, it is crucial...
Let The Exams Continue | (770) 343-7299 | Atlanta, GA 30339

Let the Exams Continue..

The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team...
40 Years Without Change To Form 13F | Atlanta, GA | (770) 343-7299

40 Years Without Change to Form 13F. Overdue? Absolutely!

On July 10th, 2020  the SEC proposed changes to Form 13F to update the threshold for institutional...
Update: SEC Rule Change Proposal! | Atlanta, GA 30339 | (770) 343-7299

Update: SEC Rule Change Proposal!

The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of...

Your Compliance Journey Simplified

Stop piecing together compliance knowledge from scattered sources. 

RIA Compliance University gives you everything you need in one accessible platform:

→ On-demand courses available 24/7.

→ Downloadable templates ready for customization.

→ Quarterly live events with compliance experts.

→ Community forum access for peer insights.

→ Regular updates reflecting regulatory changes.

Start With A Free Course

Try Our Complimentary “Introduction To RIA Compliance” Course Today.

View Courses