Compliance
Five Brokerage Firms Punished For Nebulous "Handling Fees"
- Details Category: Regulatory
FINRA has cracked down on several broker-dealers for failing to disclose that they were loading added fees on top of their normal trading commissions.
FINRA Slapped With Age Bias Lawsuit
- Details Category: Regulatory
The former head of FINRA's New York regional office has sued the regulator for what he says is age discrimination.
Advisers Using Social Media in Their Businesses Must Tread Carefully
- Details Category: Advertising Compliance
FINRA’s first effort, Regulatory Notice 10-06, seemed to raise as many questions as it answered. Now FINRA has issued further guidance with the issuance of Regulatory Notice 11-39 (“RN 11-39”), which is meant to supplement, not supplant, Regulatory Notice 10-06.
Get Ready For Congressional SRO Hearings In Two Weeks
- Details Category: Registered Investment Advisors
The House of Representatives has reportedly scheduled September 13 as the date when formal debate on whether investment advisors should switch to a self-regulated model.
Follow-up Information for the Webinar, “The Switch Is On Again For RIAs”
- Details Category: Registered Investment Advisors
A lot of important information regarding the upcoming requirement for mid-sized advisors to switch from SEC to state registration was provided during the recent webinar, “The Switch is On Again for RIAs”, hosted by Advisor4Advisor and presented by Tammy Emsick of RIA Compliance Consultants. Therefore, we would like reiterate a few of the main points presented during this webinar.
