Amendments to the FINRA Code of Arbitration Procedure for Customer and Industry Disputes aimed at protecting personal information became effective on July 28, 2014. The amended Rules 12300 (Customer Code provision) and 13300 (Industry Code provision) require parties...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: September 2014
Recent Posts
- Financial planners prepare for shift with women expected to control more wealth
- White House executive order seeks to assert control over regulatory agencies
- Paul Atkins sworn in as new chairman of the Securities and Exchange Commission
- SEC awards $6 million to joint whistleblowers for assistance leading to enforcement action
- New initiatives, ‘FINRA Forward’, aimed at supporting members, markets and investors
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