The SEC is dropping a slew of proposals that would have heightened advisors’ responsibilities for cybersecurity,…
Tag: Regulatory reform
Weighing the chances of RIA arbitration reform
Investor advocates are cheering an attempt to place stricter limits on how RIAs can use arbitration…
Advisors question SEC push to extend alts investing
Advisors and securities lawyers are raising a collective eyebrow at a big push now underway by…
PIABA decries new FINRA arbitrator criteria
Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved…
FINRA feels broker pushback on side-business proposal
Brokers and industry groups are greeting a FINRA proposal meant to relax advisors’ obligation to report…
FINRA to reopen supervision plans in WhatsApp cases
FINRA is looking to lighten the supervision burden on nearly 80 firms that reached settlements before…