Client Communications

Last week, Charles Schwab & Co. decided to settle its long-running battle against FINRA over whether language in agreements prohibiting customers from joining class-action lawsuits ...

NFA Compliance Rule 2-30(b) requires Members and Associates who are registered as brokers or dealers under Section 15(b)(11) of the Securities Exchange Act of 1934 ...

The oft-used phrase goes "money is fungible," meaning it's interchangeable. Its context on a global scale for advisers is that you can manage money no ...

Here are several examples of e-mail disclaimers contributed from some of your peers.

SIFMA persuaded the agency because "it will be unfeasibly difficult and expensive for broker-dealers to implement procedures and controls and make necessary technology changes to ...

Look up Advisers Act rule 204-2(d) and you'd see that it permits use of a code to identify a client. The language reads:Any books or ...

The staff’s view is that funds may electronically deliver to their shareholders the required “written statement” describing the sources of their distributions.

Thanksgiving Day dinner can be uncomfortable enough without Uncle Al constantly grumbling under his breath about how you messed up his portfolio.That prospect could cause ...

A dissolving marriage can be war for the couple, especially over money, and their adviser can easily be hit with the shrapnel. One adviser found ...

The Supreme Court decision striking down a key part of the Defense of Marriage Act (DOMA) might not affect compliance professionals at broker-dealers in the ...