The Broker-Dealer Profession is Trending Down. No, the Answer to “Why” is Not COVID.
As the pandemic rapidly spread throughout the world at the beginning of this year, financial…
Browsing: Broker-Dealer
The Fall of the Broker Protocol
The Broker Protocol[1] is an agreement among wealth management firms with the goal of preventing…
The Effects of Consolidated Audit Trails on Broker-Dealers
Established by the Securities Exchange Act of 1934 (“The Act”), the Securities Exchange Commission (“SEC”)…
SEC – Don’t Throw Away Your Shot! A Renewed Call for a Uniform Fiduciary Standard to Protect Individual Investors
On November 10, 2016 Fordham University’s School of Law’s Corporate Law Center, in partnership with…
Know Your Customer: FINRA’s Clarification of New Suitability Rule
In November of 2010, the SEC approved a new suitability rule developed by FINRA as…