CNBC (December 20, 2019) -
Key Points
The SEC has proposed rules to expand the pool of investors who can buy so-called private funds, which are only available to fairly wealthy consumers.…
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In the Media
Advisor's Edge (December 11, 2019) - Requiring brokerage firms to disclose whether they have E&O insurance could enhance investor protection
With hundreds of millions of dollars in investor…
InvestmentNews (December 11, 2019) - Measures would have to find GOP support for any hope of Senate approval.
Recently introduced bills in the House and Senate would ban mandatory arbitration…
InvestmentNews (December 11, 2019) - NASAA says step would help address problem of unpaid arbitration awards
State securities regulators encouraged brokerages Wednesday to use insurance to fund…