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- Category: Blog
- SEC Violations: What You Need to Know
- Private Equity Fund Structure 101
- SEC Custody Rule Explained: What Investment Advisers Should Know
- Inside FINRA 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 Tips To Make Recessions Easier To Handle
- 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
- What Happens When An Investor Files Arbitration Against Me?
- I’m an RIA, and I Need to Fire an Employee. How Can I Avoid a Lawsuit for Wrongful Termination?
- Before You Consider Breaking Away, Understand the Four Vital Components of Your Contract
- 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?
- 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
- “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
- 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
- NEW Series 50 Exam
- LGBT Financial Planning
- 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
- DOL Fiduciary Rule Update
- S-Corp Fails to Shield Financial Adviser
- DOL Fiduciary Rule Update
- You Got Spoofed!
- Whistleblower Tips Blowing Up
- The Vulnerability of Baby Boomers
- Robo-advisers Aren’t Just For Millennials
- 2017 Examination Priorities
- DOL Releases First FAQs for New Fiduciary Rule
- Renewal Season is Here- Annual Form ADV Amendments
- Category: Business
- Let the Exams Continue..
- Are generational differences impacting your business? Are you communicating effectively?
- Cybersecurity: Are You Protected?
- Do you know what happened this past week?
- Does the word “no” scare you? Are your sales conversations failing? Are your conversion rates low?
- Are you worried about being sued for wrongful termination?
- 5 Obstacles Advisers Are Facing in 2019
- The Experiment – What Is It?
- What the hell did I get myself in to?!
- Newsletters
- How to Prepare for a Recession
- The government shutdown and how it affects financial advisers.
- It’s All About How You Sell Yourself
- Is it time to outsource that task?
- Tax Planning for Financial Advisors
- Steve’s Corner: Forecast or Fortune Telling?
- Using Client Usernames and Passwords
- Conflict Resolution
- Category: Compliance
- Category: Data
- Category: Estate Planning
- Category: FINRA
- Category: Legal
- Category: Marketing
- Category: Media
- Regulatory Compliance 2022 & Beyond
- Leila Shaver Named A Rising Star for Two Consecutive Years by Super Lawyers
- High Velocity Radio
- Stop Viewing Compliance as Your Business-Prevention Department
- Folio Institutional Interview – Part 1
- Folio Institutional Interview – Part 2
- D & I Panel Discussion – Women in Finance
- FinancialAdvisors.com Interviews Leila Shaver
- Adviser Mergers and Acquisitions are Rising
- How Advisors Can Use Client Testimonials Under New SEC Rule
- Folio Institutional Interview – Part 3
- What RIAs Need to Know About the New Marketing Rules
- New SEC Rules Allow Financial Advisor Testimonials
- Wealthender’s new SEC compliance Certified Advisor Reviews
- Category: New Service
- Category: RIA
- Category: SEC
- Category: Social Media
- Category: Taxes
- Category: Uncategorized
- Highlights from 2018
- Developing a Strategy for 2019
- FINRA Expungements
- SEC Exam Priorities for 2018
- December 2017 Newsletter
- SEC Enforcement Division Issues Report on Priorities and FY 2017 Results
- November 2017 Newsletter
- Advertising Issues for RIAs
- SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds
- Category: Why