

The High Cost of RIA Compliance Oversight: A Cautionary Tale
In the world of financial advising, trust and regulatory compliance are non-negotiable. Yet even with the best intentions, a single…
Michelle Atlas-Quinn, J.D.

CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Has an unproven BrokerCheck claim hurt your reputation? The CFP Board agrees the data is flawed. Discover how to challenge…
Doc Kennedy, MBA, J.D.

Outsourced CCO for RIAs: Is It SEC-Compliant?
Are RIAs allowed to outsource their CCO? Get clarity on SEC rules, proposed regulations, and the importance of an empowered,…
Michelle Atlas-Quinn, J.D.

Your 2025 RIA Compliance Checklist: Insights from a Leading Expert
Get insights on SEC priorities for 2025 from AdvisorLaw’s expert, Michelle Atlas-Quinn. Learn how to navigate compliance, fees, and client…
Michelle Atlas-Quinn, J.D.

Financial Advisor Disclosures: How a “Marked” Record Can Tank Your Career Mobility
Don’t let a blemished record hold you back. Learn how your BrokerCheck disclosures are limiting your career as a financial…
Doc Kennedy, MBA, J.D.

Financial Advisor M&A Consulting: Maximizing Your Practice Value with AdvisorLaw
For independent financial advisors, the decision to sell, merge, or acquire a practice is one of the most pivotal in…