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IA
10/18/2017
John Ritter’s first purchase of an IA firm went so well that he took for granted the second one would as well. It didn’t.   “We missed the managerial ...
BD
10/18/2017
Complex products bring with them special supervision, suitability and rep training obligations.  Volatility-linked exchange-traded products fit square...
IA
10/18/2017
The modernization and simplification of required disclosures for investment advisers, investment companies and public companies was the order of busin...
Latest News
10/18/2017 | Content areas: Broker-Dealer

FINRA requires that you request a Trusted Contact for “each account” of a client 65 years and older under its new senior investor protection rules (BD...

10/18/2017 | Content areas: Investment Adviser

For SEC nominee Hester Peirce it looks like the long wait for a confirmation hearing on Capitol Hill is almost over.  Confirmation hearings for both P...

10/18/2017 | Content areas: Broker-Dealer

How safe is the safe harbor FINRA is promising you under new rule 2165 (financial exploitation of specified adults)?  Jim Wrona, FINRA vice president ...

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