From data privacy to anti-money laundering, failure to comply with regulations can have severe consequences for businesses. To mitigate these risks, many turn to compliance attorneys for support. A compliance attorney is a legal superhero who swoops in to save companies from the perils of non-compliance. They are the ultimate guide through the labyrinth of...Read More

At first look, it may seem that a Registered Investment Adviser (RIA) is much the same as any other financial adviser. This is far from true; an RIA has a fiduciary duty and has RIA compliance regulations to meet. So when you want to become an RIA, you will need to register as well as...Read More

Form U5 is a word often thrown around in the securities industry, yet many people are still unaware of what it means and its impact. If you work in securities with a firm as an investment adviser or a broker-dealer, it is highly important that you’re mindful of what this U5 Form is and how...Read More

A single negative mark on your Central Registration Depository or BrokerCheck report can be a nightmare for a registered representative. Unfortunately, such marks are often the result of customer complaints, which are reported to FINRA. In this article, we will explore the process of FINRA expungement and provide guidance on how to navigate this complex...Read More

Maintaining your registration with FINRA is essential to your career in the securities industry. When you leave a firm, Form U5 that is filed becomes an important piece of regulatory documentation that can significantly impact your future. What is a FINRA u5 form? The chance is that you are already aware of the FINRA U5...Read More

In today’s world, where businesses and organizations handle vast amounts of personal data, it is crucial to have safeguards in place to protect individuals’ privacy. Whether you are an individual concerned about your personal data or a business looking to implement U5 disclosure processes, this article will give you a solid understanding of this critical...Read More