Blog

Sep
25
2017
A financial advisor apparently traded his career for $731 in free parking. I think he got a very bad deal, as he lost his job and is now barred from being associated with any broker-dealer.
Sep
25
2017
Financial advisors called in for an OTR (on-the-record) interview with FINRA often have questions about what that is and how it works. In this short video, we'll answer many of the common questions about how the OTR works, and what a FA should expect walking into the interview.
Sep
22
2017
A common question from financial advisors is whether they have to disclose a Rule 8210 letter that they have received from FINRA on their Form U4. We answer that in today's short video.
Sep
19
2017
Financial advisors, insurance agents and CPAs are invited to join us on Wednesday, October 11, 2017 at 4PM Eastern for an update on estate planning in Georgia. Learn the foundational tools used for most clients in Georgia, and also get up to speed on changes in the law in 2017, including changes to Georgia's power of attorney act.
Sep
15
2017
On September 14, 2017, the SEC issued a Risk Alert to Investment Adviser firms, discussing violations of the Advertising Rule identified in recent exams of RIA firms.

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