Sitemap
Pages
- About Us
- Accessibility
- Alabama RIA Compliance & Securities Lawyer
- Alaska RIA Compliance & Securities Lawyer
- Areas We Serve
- Arizona RIA Compliance & Securities Lawyer
- Arkansas RIA Compliance & Securities Lawyer
- Blog
- Broker-Dealers
- California RIA Compliance & Securities Lawyer
- Colorado RIA Compliance & Securities Lawyer
- Commodity Trading Advisors
- Compliance Risk Calculator
- Connecticut RIA Compliance & Securities Lawyer
- Contact Us
- Delaware RIA Compliance & Securities Lawyer
- ERISA Fiduciaries
- Events
- Florida RIA Compliance & Securities Lawyer
- Fund Managers
- Georgia RIA Compliance & Securities Lawyer
- Hawaii RIA Compliance & Securities Lawyer
- Home
- How We Change the Game
- Idaho RIA Compliance & Securities Lawyer
- Illinois RIA Compliance & Securities Lawyer
- In The Media
- Indiana RIA Compliance & Securities Lawyer
- Insurance Agents
- Iowa RIA Compliance & Securities Lawyer
- Kansas RIA Compliance & Securities Lawyer
- Kentucky RIA Compliance & Securities Lawyer
- Louisiana RIA Compliance & Securities Lawyer
- Maine RIA Compliance & Securities Lawyer
- Maryland RIA Compliance & Securities Lawyer
- Massachusetts RIA Compliance & Securities Lawyer
- Michigan RIA Compliance & Securities Lawyer
- Minnesota RIA Compliance & Securities Lawyer
- Mississippi RIA Compliance & Securities Lawyer
- Missouri RIA Compliance & Securities Lawyer
- Montana RIA Compliance & Securities Lawyer
- My RIA Lawyer – Sales
- Nebraska RIA Compliance & Securities Lawyer
- Nevada RIA Compliance & Securities Lawyer
- New Hampshire RIA Compliance & Securities Lawyer
- New Jersey RIA Compliance & Securities Lawyer
- New Mexico RIA Compliance & Securities Lawyer
- New York RIA Compliance & Securities Lawyer
- North Carolina RIA Compliance & Securities Lawyer
- North Dakota RIA Compliance & Securities Lawyer
- Ohio RIA Compliance & Securities Lawyer
- Oklahoma RIA Compliance & Securities Lawyer
- Oregon RIA Compliance & Securities Lawyer
- Pennsylvania RIA Compliance & Securities Lawyer
- Privacy Policy
- Registered Investment Advisors
- Reviews
- Rhode Island RIA Compliance & Securities Lawyer
- RSVP
- Services
- Broker-Dealer Compliance
- Broker-Dealer Registration
- FINRA Arbitration Lawyer
- Securities Litigation Lawyer
- C-Suite Services
- Compliance (Anchor)
- Compliance 01
- SEC Compliance Lawyer
- General Counsel
- FINRA Expungements
- CFO Services
- RIA Compliance University
- Private Investment Funds
- RIA Registration
- SEC Mock Examination
- Sitemap
- South Carolina RIA Compliance & Securities Lawyer
- South Dakota RIA Compliance & Securities Lawyer
- Tennessee RIA Compliance & Securities Lawyer
- Terms of Use
- Testing Calculator
- Texas RIA Compliance & Securities Lawyer
- Utah RIA Compliance & Securities Lawyer
- Vermont RIA Compliance & Securities Lawyer
- Videos
- VIP
- Virginia RIA Compliance & Securities Lawyer
- Washington D.C. RIA Compliance & Securities Lawyer
- Washington RIA Compliance & Securities Lawyer
- West Virginia RIA Compliance & Securities Lawyer
- Wisconsin RIA Compliance & Securities Lawyer
- Wyoming RIA Compliance & Securities Lawyer
- Careers
- Resources
- Template Shop
Posts by category
- Category: Arbitration
- Category: Blog
- The AML Rule For RIAs
- A Collaborative Approach to Risk Mitigation
- The True Cost of Compliance: Why Handling It Yourself Is Hurting Your Business
- Proactive Compliance: Mitigate Risks & Stay Ahead of Regulators
- Understanding the FTC’s Non-Compete Ban
- 7 Tips for Reducing Stress in a World of Compliance
- Compliance Challenges that keep Executives up at Night
- Can I Outsource Compliance Services?
- What does the Outsourced Compliance Department Include?
- 5 Easy Steps to Accurate Valuations for Alternative Investments
- 8 Things You Should ABSOLUTELY Know Before You Go Into A FINRA OTR
- What is Form ADV and Why Does it Matter for RIAs?
- 10 Reasons Why You Should NEVER DIY a Private Investment Fund
- 3 Things You Need to Know About Proxy Voting for Your Clients
- The SEC’s New Risk Alert for Newly Registered RIAs
- What Every Advisor Should Know About SEC Investigations
- What to Know About FINRA’s Expungement Rule Changes
- What You Should Know Before Bringing on a Partner in Your Business
- 8 Things to Know if You’ve Been Named in a FINRA Arbitration
- What to Do If You’re Under Securities Investigation: 10 Tips from a Securities Lawyer
- Breaking Away: Understanding Contracts When Leaving Your Firm
- Navigating an SEC Investigation: What to Expect and How to Protect Yourself
- SEC Violations: What You Need to Know
- Private Equity Fund Structure 101
- SEC Custody Rule Explained: What Investment Advisers Should Know
- Inside FINRA Rule 3110: Understanding the Framework for Risk Management
- What is Regulatory Compliance? 5 Best Practices Every Organization Should Follow
- Litigating Class Action Securities Claims: Challenges and Opportunities
- Your Guide to the Series 65 Exam: All You Need to Know
- Get It Right: 5 Reasons You Need Legal Support for Private Funds
- Private Funds, the SEC, and the Law: Which Rules Apply?
- A Step-by-Step Guide to Forming Private Funds
- Can an Alleged SEC Violation Be Settled?
- How To Prepare for Arbitration: 5 Essential Tips
- The Role Of Broker-Dealer Compliance Programs
- What to Know Before You Get Broker-Dealer Registration Services
- FINRA Expungement Cases: The Importance of Expert Witnesses
- SEC Plans to Focus Its Attention on Recently Adopted Rules
- How An Attorney Can Help With RIA Registration
- Regulation in an Online World
- 5 Steps to Prepare Your Firm for a Potential Recession
- What is Fiduciary Duty and What Does that Mean For Your Firm?
- 7 Issues for Which Financial Advisors and Firms Should Consider Hiring a Regulatory Defense Attorney
- SEC Division of Enforcement Examinations and Enforcement Actions
- I’m an RIA, and I Need to Fire an Employee. How Can I Avoid a Lawsuit for Wrongful Termination?
- Four Essential Contract Components for Breakaway RIAs
- The CFP Board Imposed Public Sanctions on 40 Individuals. Don’t Let This Happen to You!
- Will the Biden Administration’s SEC Enact More Regulations and Enforcement?
- How Advisors Can Use Client Testimonials Under New SEC Rule
- New SEC Rules Allow Financial Advisor Testimonials
- What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules
- What is the SEC focusing on in 2021?
- Spring cleaning has begun and the SEC is full steam ahead
- Thought 2020 (and all its glory) slowed the SEC Down? Think again
- PPP The Sequel
- A holiday present from the SEC: The Marketing Rule
- Don’t Rule Out the Top Guns
- They’re setting their scope for the next kill
- Social Dilemma: SEC Edition
- Now your advisors are working from home. So, have you reviewed their remote/branch office?
- COVID-19 Brings Risks – and we aren’t talking Health Risks
- Let the Exams Continue..
- “Law Without Penalty Is Advice.”
- SEC Adopts Amendments to Procedures for Exemptive Relief
- 40 Years Without Change to Form 13F. Overdue? Absolutely!
- What are you missing in your management of Private Funds?
- Update: SEC Rule Change Proposal!
- What violations are catching FINRA’s attention?
- Are your disclosures (or lack of) going to get you in trouble?
- The SEC is Proposing a Modernization of the Framework for Fund Valuation Practices
- Is your Cybersecurity Program Air Tight?
- FAQS on Regulation Best Interest
- What You DIDN’T Know About Making Recommendations
- Developing a Business Strategy
- Every Office Has A Whistleblower Waiting For You to Slip Up
- First-loss platforms
- FINRA Requiring Encryption of Laptops
- FORM ADV CHANGES GO INTO EFFECT IN OCTOBER
- Series 50 Exam
- The Evolving Landscape of LGBT Rights and Financial Considerations in the United States
- Employing High-Risk Brokers Is Going to Cost More
- Are You Safe From Ransomware?
- Sanction Guidelines Revised
- Military Retirement Planning
- The Grass Is Greener On The Other Side
- Reliance on a Compliance Consultant is not a Defense
- SEC Adopts JOBS Act Amendments
- S-Corp Fails to Shield Financial Adviser
- You Got Spoofed!
- Whistleblower Tips Blowing Up
- The Vulnerability of Baby Boomers
- Robo-advisers Aren’t Just For Millennials
- DOL Releases First FAQs for New Fiduciary Rule
- Category: Business
- Are generational differences impacting your business? Are you communicating effectively?
- 7 things advisers wish they knew BEFORE they decided to deal with the SEC
- Cybersecurity: Are You Protected?
- Does the word “no” scare you? Are your sales conversations failing? Are your conversion rates low?
- Employee Termination Practices: Minimizing Legal Risks and Ensuring Compliance
- Navigating Challenges and Maximizing Opportunities for Financial Advisers in 2024
- What the hell did I get myself in to?!
- Newsletters
- How to Prepare for a Recession
- It’s All About How You Sell Yourself
- Marketing for the Holidays
- 5 Social Media Takeaways
- Tax Planning for Financial Advisors
- Steve’s Corner: Forecast or Fortune Telling?
- Using Client Usernames and Passwords
- Category: Compliance
- The New Marketing Rule For Investment Advisors
- FINRA’s Podcast Beyond Hollywood: Money Laundering in the Securities Industry
- Form U-5 & Expungements
- Part 3: Expert Interview with Leila Shaver
- Part 2: Expert Interview with Leila Shaver
- Folio Institutional Expert Interview with Leila Shaver
- Annual Compliance Reviews
- Do you have clients living in the EU? You may be subject to the GDPR.
- Advertising Issues for RIAs
- Category: Cybersecurity
- Category: Data
- Category: Estate Planning
- Category: FINRA
- Category: Industry News
- Category: Interview
- Category: Investment
- Category: Legal
- Category: Marketing
- Category: Media
- Phenomenal Women Of 2021
- Leila Shaver Named A Rising Star for Two Consecutive Years by Super Lawyers
- FinancialAdvisors.com Interviews Leila Shaver
- The Changing Landscape of RIA Sales: Insights from Leila Shaver
- What RIAs Need to Know About the New Marketing Rules
- Wealthender’s new SEC compliance Certified Advisor Reviews
- Category: Podcast
- Category: RIA
- Category: SEC
- Category: Social Media
- Category: Taxes
- Category: Testimonial
- Category: Uncategorized
- Category: Videos
- Category: Why