It rarely ends well for an RIA who fails to appear before the Securities and Exchange Commission to defend his or her position. Witness the latest industry bar.
Are you facing a SEC action? Please contact me to discuss.
Read more:
- Expungement of Complaints from the CRD
- The SEC’s 2022 Examination Priorities
- FINRA’s March Disciplinary Actions
- FINRA’s April 2022 Disciplinary and Other Actions
- FINRA’s Expectations (Reg Notice 22-11)
- EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule
- Reporting to the Consolidated Audit Trail (CAT)
- Social Media Hygiene and Recordkeeping
- About Ryan
- Resources
Thank you for reading this article. Please know that I wrote it for informational purposes only (some may consider it ADVERTISING MATERIAL) and did not intend for it to be legal advice or to form an attorney-client relationship with you – especially in jurisdictions where I am not licensed to practice law. I encourage you to seek your own counsel to help you with your specific situation. To that end, I invite you to contact me if you would like to discuss my services.
I enable broker-dealers, registered investment advisers and their associates to spend more time growing their business by helping them address a wide range of legal and compliance responsibilities with clear and detailed advice.