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In the Media
Financial Advisor IQ (June 16, 2023) - There is “no substitute” for on-site examinations, according to Sander Ressler, a compliance consultant who works with broker-dealer and registered investment…
AdvisorHub (June 13, 2023 ) - A former top-ranked RBC Wealth Management-U.S. and Ameriprise Financial broker whose record includes a kidnapping charge and $2.5 million client claim has accepted an…
Think Advisor (June 5, 2023) - The full House passed late Monday two more accredited investor-related bills.
The Accredited Investor Definition Review Act, H.R. 1579, sponsored by Rep. Bill Huizenga…
AdvisorHub (May 26, 2023) - A group of plaintiff lawyers are standing their ground against the Financial Industry Regulatory Authority’s proposal to launch a three-year “pilot” allowing most firms…
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…
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…
Think Advisor (April 6, 2023) - The Financial Industry Regulatory Authority has refiled with the Securities and Exchange Commission a revamped plan to make changes to FINRA Rule 3110 to allow a home…
AdvisorHub (March 30, 2023) - The Financial Industry Regulatory Authority has submitted to the Securities and Exchange Commission another revision to one of its two proposals to make it easier for…