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...
SEC Staff Issues Guidance on Robo-Advisers
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 advisers, or robo-advisers, which are registered investment...
