AdvisorLaw

Ever feel like the SEC's marketing rule has been a bit of a moving target? You're not alone — it's one of the most frequent questions we get from RIAs! Good news: The SEC just dropped crucial new guidance, finally bringing much-needed clarity to its amended marketing rule. This isn't just theory — it's practical insights that can directly impact how you showcase your firm. From welcome flexibility on performance data to firm directives on consistency, this guidance changes the game. And yes, enforcement is real, so understanding these updates is critical. Dive into our breakdown, and see what the new FAQ reveals for your RIA's marketing strategy: https://lnkd.in/gGRKEKQh #RIAMarketing #SECCompliance #InvestmentAdvisors #MarketingRule #Compliance #FinancialAdvisory

Your chief compliance officer plays a pivotal role in your RIA's success. But when it comes to the CCO position, is outsourcing truly an option that the SEC supports? We tackle this complex question head-on in our latest industry insight. Learn about: ✅ The SEC's focus on CCO effectiveness (regardless of in-house vs. outsourced) 🔎 Proposed rules that signal increased due diligence for outsourced functions 🧠 Why competence, knowledge, and authority are non-negotiable for ANY CCO Don't navigate the evolving regulatory landscape alone. This post empowers you with the knowledge to make informed decisions for your firm. Find out if outsourcing is the right move for your RIA. Read it here: https://lnkd.in/gMpcECye #RIACCO #ComplianceSolutions #SECRegulations #FinancialServices #OutsourcedCCO #RiskManagement

Ever poured your heart and soul into your work, hit your numbers, and even exceeded expectations... only to be told you're "underperforming"? It's a frustrating, and unfortunately, relatable situation. We recently secured a major win for a financial advisor who faced just that. Despite 30 years of a stellar career and strong sales metrics, he was terminated in 2024 for "underperformance." This isn't just about an award — it's about setting the record straight when a false claim threatens a professional's livelihood. The good news? The truth prevailed! Learn how we successfully expunged this misleading termination from this advisor’s FINRA record: https://lnkd.in/gfvD3iAt #FinancialAdvisor #FINRA

🚨 In case you missed it: Your RIA's compliance just got a whole lot clearer! We recently launched a comprehensive, three-part series on RIA supervision that's a must-read for every financial advisor. This series is packed with insights to help you build a robust compliance program and protect your firm: https://lnkd.in/gaxU5RCk Don't get caught unprepared! #RIACompliance #InvestmentAdvisors #SECRegulations #RiskManagement #FinancialServices 

From the surge in fines for off-channel communications to the latest SEC priorities for 2025, compliance is more complex than ever. That's why we're excited to share a recent Financial Experts Network Q&A session where our own expert, Michelle Atlas-Quinn, tackles some of the toughest questions head-on. In this CE-accredited Q&A, we dive into: 🤳The true cost of not archiving text messages. 🎁The fine line between a gift and an incentive. 🧭Navigating conflicts with family accounts. 🚩How to handle fee structures that raise red flags. Get the clarity you need and earn your CE credit at the same time. Don't let compliance confusion hold you back: https://lnkd.in/geGFHZKT #CEcredit #Compliance #FinancialAdvisor #RIA #SEC #WealthManagement

You've got the experience, the clients, and the drive — but what if an old mark on your professional record is quietly undermining your career ambitions? The truth for financial advisors is that a pristine professional record is no longer a luxury — it's a fundamental requirement. We're seeing a growing trend where even minor, often meritless, disclosures can severely limit mobility, intensify scrutiny, and create significant hurdles with state regulators and recruiters. Your hard-earned expertise is invaluable. In today's climate, a less-than-clean record can be an insurmountable barrier. It's time to understand the profound impact of disclosures on your professional record. Discover how a clean slate can unlock new opportunities and boundless potential for your financial advisory career: https://lnkd.in/gviD_x8c #FinancialServices #CareerChallenges #Compliance #U5Expungement #CleanRecord

It's astonishing how fast a false claim can damage a career, and even more so how quickly it can be overturned with the right approach. Just last year, a 30-year veteran financial advisor faced a false termination disclosure from 2024 alleging "un-collegial behavior." Now in June 2025, we're proud to announce that entry has been completely expunged from his FINRA CRD and BrokerCheck records. Great work, Alex Padla, J.D. — the lead attorney on the case. This win underscores the rapid effectiveness of AdvisorLaw in challenging misleading information through FINRA Dispute Resolution. It proves that quick action can lead to quick justice. Discover the details of this rapid resolution here: https://lnkd.in/gUQYzNDu #U5Expungement #FinancialServices #SwiftJustice #ReputationMatters #FINRADisputeResolution

Another big win for our clients! 🎉 We're proud to announce the successful transition of a seasoned Colorado financial advisor (30+ years in the wirehouse industry!) to an independent firm. This move means more freedom, greater profits, and customized solutions for his high-net-worth clients. Our Executive Director, Jason Kirkland, led the charge, saying that "even advisors with disclosures on their records can be moved — simply because of our attorneys’ experience in mitigating those risks." This is what we do best: provide expert guidance and seamless transitions for financial advisors ready to take control of their careers. Curious about the benefits of moving away from a wirehouse? Let's talk! Reach out for a complimentary consultation: https://lnkd.in/g5cKfScz #FinancialPlanning #CareerGrowth #AdvisorSuccess #IndependentRIA #FinancialFreedom #InvestmentAdvisors

🌟AdvisorLaw Spotlight: Jacob Jacobsen, J.D. Every month, we celebrate the talented individuals who make AdvisorLaw a trusted partner for financial professionals. This month, we celebrate Jake Jacobsen, J.D., a senior associate attorney whose legal acumen is a huge asset to our clients. Running an #RIA means constant attention to compliance — a complex and ever-evolving challenge. From policy reviews to regulatory updates, Jake's legal insights are crucial for maintaining a robust compliance program. He's dedicated to minimizing your risk so you can focus on your clients. Meet Jake, and learn how AdvisorLaw simplifies RIA compliance.

📈 Your practice isn't just AUM; it's your legacy. When it comes to M&A, are you trusting a general broker or a team built exclusively for #financialadvisors? AdvisorLaw's M&A division stands apart. We're not just about numbers — we bring deep legal expertise, compliance integration, and a commitment to protecting your interests. Whether buying or selling, we offer a free valuation to start — no pressure, just clarity. Discover the difference of an advisor-only M&A partner: https://lnkd.in/gbGsVi5z #RIA #PracticeAcquisition #FinancialPlanning #AdvisorLaw