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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • FINRA, SEC and State Regulatory Investigations
    • Employment Counsel
    • Wrongful Discharge
    • Expungement Claims
    • Promissory and Forgivable Notes
    • Firm Transitions
    • CFP Board Investigations
    • Partnership Disputes
    • Broker Protocol FAQs
    • Form U5 Claims
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Investor Notice: GWG L Bonds
    • Frequently Asked Questions About Investment Loss Matters
    • Financial Advisor Misconduct
    • Breach of Fiduciary and Other Duties
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

SEC Proposes Amendments to Form ADV and the Books and Records Rule of the Advisers Act

On Behalf of Lewitas Hyman PC | Jul 20, 2015 | Financial News

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...

Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require BrokerCheck Link on Member Websites

On Behalf of Lewitas Hyman PC | Jul 10, 2015 | Financial News, FINRA Compliance

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...

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