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Newsletters | Atlanta, GA 30339 | (770) 343-7299
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Newsletters

Acquiring new clients and communicating effectively with clients can be one of your biggest challenges. One of the easiest ways to continue the conversation is

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Highlights From 2018 | Atlanta, GA 30339 | (770) 343-7299
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Highlights from 2018

It’s easy to get caught up in the everyday hustle of running your own business, managing employees and then going home to your family.  By

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Developing A Business plan & Strategy For 2019 | Atlanta, GA 30339
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Developing a Strategy for 2019

Can you believe how quickly the year flew by? As January quickly approaches, it’s time to think about your strategy for the new year. Where

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FINRA and the SEC seek to make expungements more difficult
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FINRA Expungements

FINRA and the SEC seek to make expungements more difficult. Background Through the expungement process, associated persons may seek to remove allegations made by customers

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SEC examination Priorities For 2018 | Atlanta, GA 30339 | (770) 343-7299
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SEC Exam Priorities for 2018

On February 7th, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its annual examination priorities memo for 2018, providing insight into what the

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December 2017 Newsletter | Atlanta, GA 30339 | (770) 343-7299
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December 2017 Newsletter

Click here to check out our December 2017 newsletter! Be sure to sign up to get all of My RIA Lawyer’s newsletters delivered straight to

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