Executive Summary Regulators continue to focus on “off-channel” communications—business-related messages conducted outside a firm’s approved system. While much of the enforcement attention has centered on text messaging and collaboration apps, … Continue reading Off-Channel Communications Start in Email: Are Your Keywords Keeping Up?
Executive Summary The Securities and Exchange Commission’s Division of Examinations has issued a new Risk Alert highlighting continued and widespread deficiencies in registered investment advisers’ compliance with Rule 206(4)-1 (the … Continue reading SEC Examination Platform Targets RIA Marketing Rule
A clear breakdown of why the SEC is targeting “AI washing” and what advisers, broker-dealers, and issuers must do to avoid misleading AI claims. Learn the enforcement lessons, compliance expectations, … Continue reading AI in Finance: SEC Crackdown on Misleading Claims
This video breaks down FINRA Rule 3280 and explains why even personal LLC or LP investments may count as Private Securities Transactions requiring disclosure. Learn what reps and firms must … Continue reading FINRA Rule 3280 – Avoiding Compliance Pitfalls
A quick breakdown of why financial firms struggle to classify representatives as independent contractors under labor law while still meeting SEC and FINRA supervisory requirements.
This video walks you step-by-step through the FINRA broker-dealer registration process and shows how The LeGaye Law Firm streamlines every stage—from business planning to membership approval. Learn how to start … Continue reading How The LeGaye Law Firm Simplifies FINRA BD Registration
Based in Houston, Texas, The LeGaye Law Firm, P.C. offers deep expertise and practical experience in regulatory, registration, and compliance support services tailored to the financial services industry. With decades … Continue reading About The LeGaye Law Firm
Overview Small and mid-size broker-dealers increasingly rely on the institutional communication exemption under FINRA Rule 2210 to distribute marketing decks and performance-based marketing materials to clients and prospects. The exemption … Continue reading Why High-Net-Worth Clients Can Turn an Institutional Communication into a Retail Communication Violation