The Securities and Exchange Commission has released a new risk alert on its areas of focus regarding compliance with its Marketing Rule, according to ThinkAdvisor. The rule is designed to comprehensively and efficiently regulate advisers’ marketing communications, and...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: June 2023
Webinar held on protecting senior investors from financial exploitation
A webinar on protecting senior and vulnerable investors from financial exploitation will be held on Thursday, the Financial Industry Regulatory Authority announced. The event is called the Senior Safe Act Webinar Identifying and Reporting Suspected Exploitation. It is...
New bill requires SEC to develop accredited investor certification exam
Legislation mandating the creation of an accredited investor certification exam by the SEC was approved by the full House on Wednesday, according to Think Advisor. The Equal Opportunity for All Investors Act of 2023, which passed with majority support, will...
House approves bill calling for SEC to revise ‘Small Business’ definition in securities regulation
The Small Entity Update Act, a bill mandating the SEC to revise the definition of "small business" concerning securities regulation, was successfully passed by the full House on Tuesday. According to ThinkAdvisor, the newly proposed bill mandates that the SEC provide...
FINRA announces nominee, procedures for Board of Governors election
The Financial Industry Regulatory Authority has announced one of the nominees for the upcoming election for its Board of Governors and also provided additional details about the election process. FINRA issued an Election Notice regarding the annual meeting of FINRA...