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Part 1: Legal and Compliance Considerations of Becoming an RIA

Daniel A. Bernstein, JD
Part 1 of MarketCounsel's Series: New Levers of Control: A Candid Discussion About Becoming an RIA

Across the securities industry, financial advisors are finding themselves drawn towards the idea of the "Flight to Independence" due issues such as their employers being in the news for the wrong reasons and deteriorating client relationships coupled with the unprecedented potentials available to boutique firms. However, advisers in transition face a multitude of challenges before, during, and after the transition.

Join MarketCounsel in a 4-part series to help you navigate through the important subjects that arise on the path to becoming an independent RIA including:

- Legal and compliance considerations
- Employment challenges under FINRA rules
- Corporate considerations of equity and branding
- Re-imagining the business while addressing the regulatory challenges
Jan 24 2012
45 mins
Part 1: Legal and Compliance Considerations of Becoming an RIA
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  • Title: Part 1: Legal and Compliance Considerations of Becoming an RIA
  • Live at: Jan 24 2012 4:00 pm
  • Presented by: Daniel A. Bernstein, JD
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