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In the Media
InvestmentNews (June 1, 2017) - There are plenty of legal risks and compliance pitfalls facing the securities industry following June 9, the official start date for the DOL fiduciary rule The…
AdvisorHub (May 23, 2017) - Secretary of Labor Secretary Alexander Acosta’s acknowledgment that he has no legal basis to prevent the fiduciary rule from taking effect on June 9 has focused proponents…
InvestmentNews (May 22, 2017) - Finra president and chief executive Robert Cook promises organization will revisit issue Critics say that Finra did not go far enough to remedy unpaid arbitration…
FinancialPlanning (May 12, 2017) - FINRA did not create a recovery pool for "terribly harmed" investors with unpaid arbitration awards at its board meeting this week, despite raising expectations…
InvestmentNews (May 11, 2017) - Regulatory board moves to toughen penalties for advisers with certain past infractions and those who welch on payments owed to investors The Finra board moved…
Finanical Adivsor IQ (May 8, 2017) - Finra’s Board of Governors is mulling the regulator’s next steps on recidivist brokers, unpaid arbitration awards and liquidity reporting requirements, according…
Barron's (May 5, 2017) - Finra’s board is set to take up “two nettlesome issues,” writes InvestmentNews: brokers who keep getting jobs in the industry despite disciplinary black marks, and brokerages…
InvestmentNews (May 4, 2017) - The group also will mull amendments to arbitration procedures The board of the Financial Industry Regulatory Authority Inc. next week will address two nettlesome…
InvestmentNews (April 10, 2017) - Explanations for removing a complaint from a broker's record range from a couple paragraphs to several pages, but critics still worry about the impact to investors…
NAPA Net (April 4, 2017) - Having received the final rule on its proposed extension of the applicability date from the Labor Department, the Office of Management and Budget has scheduled a couple of…