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1 Jun 2007, 11:28 am
RIA stands for Rich Internet Application, and the real buzz is about RIA frameworks. [read post]
15 Feb 2023, 7:06 pm
Continue Reading › The post RIA Investor Loss Lawyers appeared first on Investor Lawyers Blog. [read post]
12 Jul 2017, 7:00 am
We have discussed the benefits on multiple occasions, and while the RIA model is not for everyone, there are significant benefits to the RIA model.This is partially demonstrated by the growth of RIAs, as demonstrated by Financial Advisor Magazine's 2017 RIA Survey & Ranking, and the accompanying commentary.RIA Survey & Ranking 2017 [read post]
6 Jul 2016, 6:04 am
Thomson Reuter’s Checkpoint by RIA is a tax research system. [read post]
15 Oct 2010, 5:07 pm
Registered Investment Advisers (RIAs) should be aware of the recent changes enacted that will modify disclosures and language on the Form ADV. [read post]
13 Feb 2013, 7:00 am
So where does this leave RIAs? [read post]
26 Nov 2012, 9:32 am
The OCIE has indicated that the NEP staff will contact the RIA if it is to be examined. [read post]
19 Sep 2023, 7:00 am
The post SEC FINES 9 RIAS FOR MARKETING RULE VIOLATIONS appeared first on RIA Compliance Blog. [read post]
18 Sep 2020, 5:50 am
The post SEC Enforcement Continues to Sanction RIAs Over Excessive Fees appeared first on RIA Compliance Blog. [read post]
5 Nov 2012, 7:00 am
In fact, the SEC stated these advisory clients paid higher rates than the BD charged the RIA, and the RIA and principal pocketed the difference. [read post]
26 Jun 2012, 11:34 am
This Thursday is the deadline for mid-sized RIAs who no longer meet the $90 million AUM number to register with their states rather than the SEC, and it appears that many have not done so. [read post]
11 Jul 2018, 9:08 am
The RIA could no longer do business with the entity once the campaign contribution was made, it was simply strict liability. [read post]
14 Sep 2023, 6:33 am
Nine RIA Firms Fined $850K in Regulatory Sweep In a recent crackdown by the Securities and Exchange Commission (SEC), nine Registered Investment Advisory (RIA) firms reportedly have collectively been fined $850,000 for violating marketing rules. [read post]
12 Jul 2016, 3:16 pm
Financial Advisor Magazine's Top 50 Fastest Growing RIA Firms [read post]
4 Aug 2016, 7:43 am
This is the final post in a four-part series spotlighting Checkpoint by RIA. [read post]
22 Dec 2015, 3:28 am
We have been representing financial professionals for decades - 212-509-6544.Grab Your Wallet: RIA Buyers And Sellers Gearing Up for Busy 2016 | IAG Breaking News: [read post]
10 Dec 2021, 11:25 am
Great post by Alan Wolper on the duties of an RIA to monitor its customer's accounts, even when there is no trading, and no activity in those accounts.Not true for the traditional broker, and an important distinction for investment advisors to remember.SEC Settlement Proves That It’s Easy Enough For An IA To Get In Trouble Just For Doing Nothing [read post]
18 Apr 2024, 7:37 am
The post SEC Fines 5 RIAs Under New Marketing Rule appeared first on RIA Compliance Blog. [read post]
23 Jun 2009, 7:58 am
RIA Checkpoint, one of our tax law databases, just sent out this notice about recent problems their subscribers have had using the database remotely. [read post]
13 Jun 2023, 6:30 pm
Cetera acquisition of $1.4 billion RIA clarifies urgent hire of Mike ... [read post]
