The SEC approved amendments to FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes, increasing the number of arbitrators on the public arbitration list from 10 to 15, and increasing the number of strikes to that same list from four to six. The...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: December 2016
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- US Supreme Court weighing case challenging SEC enforcement proceedings
- Report finds low use of alternative products among financial advisors
- SEC advisory committee to host meeting on financial literacy, complex investment products
- SEC announces 3% increase in enforcement actions for fiscal year 2023
- SEC’s Small Business Capital Formation Advisory Committee holds meeting
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