WealthManagement (August 14, 2023) - The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors…
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In the Media
Financial Planning (August 7, 2023) - Brokers are getting at least another month to comment on a proposal that would let them conduct their internal inspections of home and branch offices remotely.…
InvestmentNews (August 3, 2023) - But LPL Financial, Fidelity back the idea of allowing supervisors to work from home, using technology to oversee reps, as they did during the pandemic.
State…
Business Law Prof Blog (July 27, 2023) - Last month, the SEC released a report on Mandatory Arbitration Among SEC-Registered Advisers. The report tackles a basic dispute resolution problem. For…