On May 20, 2015, the Securities and Exchange Commission (the “SEC”) issued Release No. 1A-4091 (the “Release”), which proposes amendments to Form ADV and to Rules 204-1 and 204-2 of the Investment Advisers Act of 1940 (the “Advisers Act”). The SEC focused its proposed...
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Month: July 2015
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require BrokerCheck Link on Member Websites
On June 29, 2015, FINRA filed with the SEC a proposed rule change to amend FINRA Rule 2210 (Communications with the Public) to require that member firms include BrokerCheck links on their websites. The new proposal, if approved, would require, “a readily apparent...
