Loveland Consulting

Mr Keith Loveland's passion to serve has been demonstrated throughout the decades as an attorney, author, consultant, teacher, and expert witness. Keith's service as a teacher spans many years and many subjects. He has taught cybersecurity and privacy law, insurance law, securities law, portfolio construction, and fiduciary practices for many years. For more info visit lovelandconsulting.com

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SPECIALTY - Keith Loveland For most of my professional life, I have specialized in helping investment professionals and their firms do things the right way. • Conducts independent FINRA Rule 3120 "test-and-verify" audits for broker-dealers. • Conducts independent Anti-Money Laundering audits for broker-dealers and investment advisers. • Consults on current and proposed legal and compliance obligations, including providing specific guidance as to establishment of appropriate supervisory controls. • Prepares and presents training on Prudent Practices for Fiduciaries. … READ MORE >

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KEITH ALDEN LOVELAND • I have served on Boards of Directors for startup companies, private associations, and at the College of Liberal Arts at my alma mater. I maintain a small group of executive coaching clients within financial services and academia. • I am an attorney admitted to the Bar in the State of Minnesota, Federal District Court (MN) and 8th Circuit Court of Appeals. I am a member in good standing of Minnesota and American Bar Associations. READ MORE >

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KEITH LOVELAND - RECOGNITION 2005 • Inaugural recipient of the Outstanding Contribution Award from the Financial Planning Association of Minnesota. In making this award, the FPA of Minnesota cited: Steadfast Support of the FPA Core Values, Development of Code of Ethics Courses, Advancement of the FPA Community, and Knowledge, Energy and Wisdom. 2010 • Recipient of the prestigious Heart of Financial Planning Award, presented by the national Financial Planning Association. 2017 • One of two inaugural recipients, Outstanding Alumnus, College of Liberal Arts, University of Minnesota Duluth … READ MORE >

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THE END OF THE EMPIRE - TESTIMONIALS Praise from the Readers • "More than a tale of American war heroes, The End of the Empire is a history lesson wrapped in a love story spanning three generations…" • "The references to actual historical events brought back memories of those times and…" • "Loveland hits all the right notes: complex, memorable characters with honor, grit, and determination…" • "A compelling and timely story, weaving personable storytelling with historical events…" READ MORE >

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KEITH ALDEN LOVELAND - EXAM HISTORY I've taken and passed the following license exams: • Series 7 - General Securities Representative • Series 63 - Uniform Securities Agent State Law Examination • Series 24 - General Securities Principal • Series 4 - Registered Options Principal • Series 27 - Financial and Operations Principal • Series 8 - General Securities Sales Supervisor • Series 5 - Debt Securities Registered Options Principal • Series 15 - Foreign Currency Registered Options Principal • Series 3 - Commodity Futures Representative • Series 53 - Municipal Securities Sales Supervisor … READ MORE >

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SEC 2026 Examination Priorities • On November 17, 2025, the U.S. Securities and Exchange Commission's Division of Examinations released its 2026 Examination Priorities. • The priorities provide the Division's views regarding the practices, products, and services which could increase risks to investors and/or the financial markets. READ MORE >

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KEITH LOVELAND - VIDEO: Enterprise Wide Risk Assessments, Anti-Money Laundering Audits, Creation of Regulation S-P Privacy Programs, Cybersecurity Policies and Procedures, Disaster Recovery Plans, and Fiduciary Assessments. Loveland Consulting WEBSITE: https://www.lovelandconsulting.com/

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2026 FINRA Annual Regulatory Oversight Report • On December 9, 2025, the Financial Industry Regulatory Authority, Inc., ("FINRA"), published the 2026 FINRA Annual Regulatory Oversight Report. • The 90-page Report reflects FINRA's commitment to providing transparency to broker-dealer firms and the public about its regulatory observations and activities. FINRA intended the Report to be an up-to-date, evolving resource and library of information. READ MORE: Click Here

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KEITH LOVELAND VIDEO: "My clients often begin with an Enterprise Wide Risk Assessment. The facts we discover during a Risk Assessment create a foundation for meeting at least 4 regulatory requirements." WATCH FULL VIDEO HERE: https://www.lovelandconsulting.com/video-enterprise-wide-risk-assessment.html

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A LIFELONG LEARNER • Keith Loveland is a lifelong learner. "I have always been interested in history, philosophy and politics, and I love to look at history, the comings and goings of civilizations and ideas, and the points of time at which time different things happen across the globe," he says. • Visit Keith Loveland Author NEW WEBSITE and view Keith’s art, drawings & creations; and read his novel, fiction stories & poems. WEBSITE: Click Here

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One Billion Dollar AUM Threshold Proposed for Federal RIA Status • On January 7, 2026, the Securities and Exchange Commission (the "Commission" or the "SEC") proposed to amend the rules under the Investment Advisers Act of 1940 (the "Advisers Act") that define the terms "small business" and "small organization" to increase the asset-based threshold used in that definition … READ MORE >

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VIDEO: Enterprise Wide Risk Assessment | Cybersecurity Policies and Procedures | by Keith Loveland IN THIS VIDEO KEITH LOVELAND TALKS ABOUT: •  Enterprise Wide Risk Assessments, Anti-Money Laundering Audits, Creation of Regulation S-P Privacy Programs, Cybersecurity Policies and Procedures, Disaster Recovery Plans, and Fiduciary Assessments. •  "My clients often begin with an Enterprise Wide Risk Assessment. The facts we discover during a Risk Assessment create a foundation for meeting at least 4 regulatory requirements." WATCH VIDEO >

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MEET Keith Loveland, Author / Poet / Artist • Visit Keith Loveland Author official website and read his latest poems, fiction stories, and more. Take a look at Keith’s paintings and drawings, and get to know Keith through his art creations and written word. OFFICIAL WEBSITE: Click Here

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Among the services my clients have received: • AML Independent Audits. • Cybersecurity and Reg S-P Privacy Audits. • Creation and/or updating of written supervisory procedures, supervisory control procedures, compliance policies, and operations manuals. • Fiduciary Audits and CEFEX Certifications. • Mock audits to help firms prepare for actual audits by the SEC, State or FINRA. • Registration as an Investment Adviser. • Enforcement defense in regulatory and industry forums. • Continuing education courses for investment professionals on diverse topics, inter alia, Fed Watching; Modern Portfolio Theory; and Portfolio Construction Best Practices. READ MORE: Click Here

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IN THIS VIDEO KEITH LOVELAND TALKS ABOUT: • Enterprise Wide Risk Assessments, Anti-Money Laundering Audits, Creation of Regulation S-P Privacy Programs, Cybersecurity Policies and Procedures, Disaster Recovery Plans, and Fiduciary Assessments. • "My clients often begin with an Enterprise Wide Risk Assessment. The facts we discover during a Risk Assessment create a foundation for meeting at least 4 regulatory requirements." WATCH FULL VIDEO HERE: https://www.lovelandconsulting.com/video-enterprise-wide-risk-assessment.html

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"THE END OF THE EMPIRE" - Novel by Keith Loveland • The End of the Empire is a rich exploration of the changing values that have shaped our country since the Second World War, particularly what people love, whom they love, and how far they will go to find and protect that. • "I am struck by the people who lived through the Depression, served in World War II, and then just wanted to live their lives. They built businesses and homes, had families and reveled in the rewards of liberty and success." • OFFICIAL WEBSITE: Click Here • VIEW BOOK on AMAZON: Click Here

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MEET Keith Loveland • I currently serve as a subject matter expert to the North American Securities Administrators Association™ (NASAA) on their Series 63/65/66 Qualification Exam Committee. I previously served as a subject matter expert to the New York Stock Exchange (NYSE) on their Series 7 item writing committee. • I have served as expert witness for the United States Department of Labor (DOL) and the United States Securities Exchange Commission (SEC), and was selected by the Minnesota Commerce Department to assist the Securities Division as Special Securities Law Consultant, 2017-2018. READ MORE: Click Here