White Paper – RIA Registration and Regulatory Issues

June 23, 2010White PapersInvestment Adviser, RegistrationDaniel LeGaye

6/23/2010 White Paper – RIA Registration and Regulatory Issues Companies and individuals who provide investment advice to others are generally subject to regulation by federal and or state securities regulators. Therefore, before providing financial advice to anyone, prospective advisers must determine whether registration is required, and if so, what type of registration is appropriate. Where registration … Continue reading White Paper – RIA Registration and Regulatory Issues →

White Paper – Dual Registration and FINRA Supervision

May 10, 2010White PapersBroker-Dealer, Dual Registration, Investment AdviserDaniel LeGaye

As the financial services industry has evolved, the supervision of registered persons that are dually registered or affiliated, either with another broker-dealer, an investment adviser or other financial services firm has become increasingly complex. While FINRA speaks regularly about how there is no “one size fits all” approach to compliance, it is clear that supervisory issues … Continue reading White Paper – Dual Registration and FINRA Supervision →