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Written and reviewed by Ryan Bakhtiari, Partner — Bakhtiari & Harrison Admitted: CA | NY | TX | DC | Multiple Federal Courts · Super Lawyers · Former PIABA President · Former FINRA NAMC Chairman · What FINRA arbitrators actually look for in expungement proceedings — and what most attorneys miss — is shaped by […]
In today’s evolving securities landscape, investor protection and transparency are not optional extras — they are foundational. For firms and registered representatives operating under FINRA’s jurisdiction, one of the less-glamorous but critically important compliance requirements resides in FINRA Rule 2210, specifically its mandate around providing a “readily apparent reference and hyperlink” to BrokerCheck for retail […]
The OBA Threat Landscape: Why Compliance is Your Career’s Lifeline The contemporary financial professional, facing evolving market demands, often seeks supplementary income or professional diversification through outside business activities (OBAs). This pursuit of a “side hustle” or external role, while appealing for financial or developmental reasons, introduces immediate and complex regulatory exposure. For the registered […]
If you’ve recently taken losses in the tech-stock downturn, you’re not alone. Many portfolios centered on growth and innovation have felt the sting of volatility. But every setback can be reframed as an opportunity to rebuild smarter. Understanding and harnessing the power of compounding—the process of earning returns not only on your initial investment but […]
Written and reviewed by David Harrison, Partner — Bakhtiari & Harrison Admitted: CA | NY · Super Lawyers 2015–2026 · Former NYC Assistant District Attorney · Former Morgan Stanley In-House Counsel · Series 7 Licensed · Last reviewed: May 2026 The SEC IAPD – Investment Adviser Public Disclosure database is one of the most powerful […]