The SEC’s Growing Focus on Private Credit and Private Market Valuations: What Registered Investment Advisers and Financial Professionals Need to Know
The FINRA arbitration forum remains the primary venue for resolving disputes between investors and the broker-dealers and investment advisers who serve them. Over the past twelve months, the forum has produced several landmark awards that captured the attention of the financial services industry, while simultaneously launching the most comprehensive review of its arbitration rules in decades. For broker-dealers and investment advisers navigating this environment, understanding the current state of play is essential to managing risk, evaluating litigation exposure, and preparing for a regulatory landscape that may look markedly different by the end of 2027.
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