In the Media

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.…
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…