Financial Advisor IQ (April 27, 2023) - The House Financial Services Committee passed several bills making it easier for investors to qualify as “sophisticated” or “accredited” in order to gain…
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Financial Advisor IQ (April 14, 2023) - The industry watchdog says it took into account public comments, including criticism from state securities regulators and Piaba.
The Financial Industry…
InvestmentNews (April 14, 2023) - NASAA says Finra's modifications don't do enough to make it harder for brokers to clear customer disputes from their records.
State securities regulators continue…
InvestmentNews (April 13, 2023) - The measure establishes tighter procedures and a special roster of arbitrators to hear brokers' requests to clear their records of customer disputes.
A Finra…