Brokers Financial Industry Regulatory Authority Disclosure Requirements

News & Analysis as of

The Regulators Are Coming! The Regulators Are Coming!

Regulators, in-house lawyers and compliance officers told a serious cautionary tale at the recent Practicing Law Institute Broker-Dealer Regulation and Enforcement seminar. Representatives of the Securities and Exchange...more

Compliance Matters: Prior Disclosure = Future Exposure?

Broker and broker-dealer information is generally a few keystrokes or mouse-clicks away for anyone with an Internet connection, and regulators are working to shorten those paths. The information available is just as expansive...more

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