Latest Publications

Share:

Updates to CFP Board’s Procedural Rules

On May 16, 2023, the Certified Financial Planner Board of Standards, Inc. (the “CFP Board”) adopted revised Procedural Rules addressing procedures for investigating alleged misconduct and enforcing the CFP Board’s Code of...more

FINRA Proposes Substantial Changes to its Arbitrator Selection Process and Introduces Other Procedural Amendments

Just prior to the New Year, the Financial Industry Regulatory Authority, Inc. (FINRA) filed with the Securities and Exchange Commission (SEC) a 96-page proposed rule modification to make certain clarifying and technical...more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide