Effective April 3, 2017, the Financial Industry Regulatory Authority (“FINRA”) will be implementing several new rule changes to both the customer and industry codes (“Rules”). While the rule changes focus on the use of FINRA’s web based DR-Portal (“Portal”), there...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: March 2017
SEC Staff Issues Guidance on Robo-Advisors
The Securities and Exchange Commission’s Division of Investment Management (“SEC”) recently published information and guidance for investors and the financial services industry on the use of automated advisors, or robo-advisors, which are registered investment...
