In the Media

Wealth Management (May 11, 2022) - Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in…
Financial Advisor (May 10, 2022) - The Financial Industry Regulatory Authority received more than 750 responses to its complex product request for comment by the time the comment period closed on…
ThinkAdvisor (May 4, 2022) - What You Need to Know FINRA is moving ahead on an overhaul of its expungement process. A lawyer for investors says too many expungements are still being granted. A…
Financial Advisor (April 29, 2022) - The Financial Industry Regulatory Authority is resurrecting an effort to revise its expungement process, citing a variety of ways its reps push the system to…