Regulatory Times are changing for Brokers and RIAs

With each passing day uncertainty grows as to what's expected from Brokers and RIAs by the regulators

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Tools for Thriving not just Surviving

The regulators might be cracking down, but when you are equipped with our tool set "THE SHIELD" and backed by our team of experienced attorneys, you will thrive, not just survive

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How Citadel Regulatory Law can help

We'll protect your livelihood. We have a specifically designed program "THE SHIELD" that will

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Keeping the Balance of Power in Check

Citadel Regulatory Law provides advisory professionals and organizations with a pre-paid solution to regulatory agency investigative costs that could save you thousands of dollars and protect your career, your business and your livelihood.

The regulatory landscape is harsh and getting worse everyday.  You are exposed to the risk of regulatory actions, no matter how vigilant you are, whether you are an individual advisor or if you own a company that is subject to the complex and challenging regulations facing everyone in the financial advisory industry.

Think for just a moment – would you go without E&O insurance?  Would you practice without a license?  Would you knowingly violate any of the hundreds of regulations detailed in thousands of pages of regulatory code books?

Of course not.   But it doesn’t matter.  Whether your actions are willful, negligent or merely an oversight, they could trigger a regulatory event at any time. Even a basic inquiry can end up costing you or your company thousands, if not tens of thousands of dollars to defend.  Should that inquiry become a regulatory action, the costs can be astronomical, jeopardizing everything you’ve worked so hard for.

Bottom Line? Your career, your livelihood and your company all depend on you being prepared for the very real possibility of having to defend yourself or your professionals against regulatory investigation.


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At no-charge we will explain how THE SHIELD works and how you'll benefit and get peace of mind by being a subscriber to THE SHIELD.