How Does a FINRA Audit Work
How Does a FINRA Audit Work?

The Financial Industry Regulatory Authority, also known as FINRA, is not a governmental body like the SEC or state RIA regulators, but it still plays a major role in how RIA firms are run and overseen. FINRA is a private, non-profit, self-regulatory organization for broker-dealers. It operates on appointment by the SEC and can levy […]

4 Ways RIA Compliance Software Can Save You Time
4 Ways RIA Compliance Software Can Save Time

Everyone’s heard the cliché that time is money. But as a registered investment advisor, this is especially true for you. Your time equals money, both for you and your clients. The more time you can devote to providing the most beneficial, insightful, and valuable wealth management guidance you’re able, the happier your clients will be […]