FINRA recently filed a proposed rule change with the SEC to amend Rules 13100 and 12100 of the FINRA Code of Arbitration Procedure to simplify the definition of a non-public arbitrator and to address an eligibility gap that has been preventing certain otherwise...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: July 2017
Recent Posts
- Financial planners prepare for shift with women expected to control more wealth
- White House executive order seeks to assert control over regulatory agencies
- Paul Atkins sworn in as new chairman of the Securities and Exchange Commission
- SEC awards $6 million to joint whistleblowers for assistance leading to enforcement action
- New initiatives, ‘FINRA Forward’, aimed at supporting members, markets and investors
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