Investment News (November 12, 2021) - Generally, financial industry groups encouraged state regulators to narrow the measure, while advocates want them to expand it.
State securities regulators are…
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In the Media
Financial Advisor (November 8, 2021) - Groups representing investor attorneys are throwing their support behind a proposal rule that would allow state securities regulators to expel or suspend…
Think Advisor (November 5, 2021) - What You Need to Know:
While there has been incremental progress in Reg BI compliance, broker-dealers still are not abiding by the Reg BI rule now in effect, Lubin…
Think Advisor (November 3, 2021) - What You Need to Know
Michael Edmiston, a securities attorney with Jonathan W. Evans & Associates, will serve a one-year term.
Form CRS should require…
Wealth Management (November 2, 2021) - Melanie Senter Lubin is Maryland Securities Commissioner, President of the North American Securities Administrators Association
All years tend to be busy years…
Financial Advisor (November 1, 2021) - Brokers and advisors who close up shop and declare bankruptcy to sidestep paying arbitration awards to the investors they defrauded are the scourge of every…
The American Prospect (October 6, 2021) - Persistent advocates and new strategies have led some companies to relent on blocking access to courts. But there’s a long way to go.
It sounds like a scene…
AdvisorHub (October 6, 2021) - The North American Securities Administrators Association unveiled this week proposed model rules through which state regulators could revoke licenses of state-…
InvestmentNews (October 5, 2021) - The North American Securities Administrators Association, the group representing state and provincial securities regulators, will put out for public comment a set…
MoneyTalksNews (October 5, 2021) - Don't automatically expect to be compensated — even if you are granted an arbitration award.
If you believe your broker or brokerage firm has harmed you…