San Diego Securities Lawyers: FINRA’s Proposed Rule on Outside Business Activities
Registered representatives who operate under FINRA regulation, are aware of [...]
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FINRA Announces Exam Priorities for 2017
Last week, the Securities and Exchange Commission revoked [...]
Read MoreFINRA ARBITRATION RULE CHANGE- PANEL SELECTION IN CUSTOMER CASES WITH THREE ARBITRATORS
The Securities and Exchange Commission (SEC) approved amendments to [...]
Read MoreFINRA PROPOSES RULE TO CURB ELDER FINANCIAL ABUSE
FINRA recently proposed a rule that would allow brokers to report [...]
Read MoreWhat Does the Trump Election Mean for the DOL Fiduciary Rule?
Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule…
Read MoreFINRA Submits Proposed Rule Changes To Clarify Offsetting Awards (SR-FINRA-2016-015)
FINRA has recently filed proposed rule changes that provide much-needed clarification to how arbitration awards resulting in both sides paying…
Read MoreDOL’S Final Fiduciary Standard Rule – What’s in Store for Financial Professionals?
The U.S. Department of Labor has at last issued the final version of its highly-debated “Fiduciary Rule”. The full text…
Read MoreSEC Fiduciary Rule Proposal to Potentially Differ from DOL’s
Calling all financial advisors – time to grab your compasses and brush up on your map-reading skills. […]
Read MoreFINRA Investigations Under Rule 8210
It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the…
Read MoreProposed FINRA Rule Requires Enhanced Fee Disclosures in Fixed Income Investments
In late February, the Financial Industry Regulatory Authority (FINRA) approved a new rule designed to help investors understand the transaction…
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