RIA Registration Archives - Register My RIA

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RIA Registration Archives - Register My RIA

DOL Employment Rule Threatens Future Of Independent Advisors

The financial advisory industry as we know it may be in jeopardy, due to a proposed Department of Labor (DOL) employment rule pertaining to an employee or independent contractor classification under the Fair Labor Standards Act (FLSA). Scheduled for approval on May 6th, the proposed rule is meant to prevent worker exploitation and employee misclassification and… Continue reading DOL Employment Rule Threatens Future Of Independent Advisors

Switching to RIA

Are you getting tired of your broker-dealer and the Financial Industry Regulatory Authority’s (FINRA) pricey and aggressive enforcement strategies? Have you thought about working for or founding your own registered investment adviser (RIA) company but are unsure if it’s the best choice for you? If so, you are not by yourself. More and more advisors… Continue reading Switching to RIA