What’s in a Name? Advisors, Brokers, and Regulation B-I
On June 5, 2019, the SEC adopted a new rule under the Securities and Exchange Act of 1934, which requires…
Read MoreMonth: April 2020
No Reg BI Extension Despite Health Pandemic
Although COVID-19 has upended many aspects of American life and our economy, the SEC advises that the novel coronavirus will…
Read MoreFINRA RULE 2010 AND ALTERING SIGNED CLIENT ACCOUNT FORMS DURING THE CORONAVIRUS PANDEMIC
FINRA rule 2010 is a sweeping provision that mandates brokers and licensed persons subject to FINRA’s jurisdiction maintain “high standards…
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