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Transparency North American Securities Administrators Association

Cozen O'Connor

New York AG Issues Additional Guidance On Recent Investor Protection Bureau Rule Amendments

Cozen O'Connor on

New York Attorney General Letitia James provided additional guidance on recent Investor Protection Bureau (“IPB”) rule amendments intended to increase transparency into the investment adviser representatives and securities...more

Carlton Fields

Broker-Dealer Fee Disclosure Under Microscope

Carlton Fields on

In September, state securities regulators formed a working group aiming to make broker-dealers’ disclosures about their fees more clear, accessible, and useful to investors in comparing different firms’ charges. The group...more

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