On April 15, 2021, the Public Investors Advocate Bar Association (“PIABA”) issued a statement supporting a bill called the Investor Choice Act of 2021. If enacted, this bill would amend the Securities Exchange Act of 1934,...more
The Securities Industry and Financial Markets Association (SIFMA) issued a memorandum (the “Memorandum”) with guidance for registered broker-dealers and investment advisers on various non-exclusive means of verifying an...more