Posts from January 2015.

The Securities and Exchange Commission ("SEC") has approved The Financial Industry Regulatory Authority, Inc.'s ("FINRA") proposed Rule 3110 (e). The rule was proposed last September and will go into effect July 1st, 2015. It will require broker-dealers to perform...

When a registered investment adviser representative breaks away to form a new company or to work for a new employer, several issues may arise.  The type of access the representative has to client lists and information should be considered. ...

In a case that exemplifies the importance of proper registration prior to initiating operations, HSBC's Private Bank ("HSBC") settled the Security and Exchange Commission's ("SEC") charges for failing to register before providing cross-border brokerage and investment advisory services to...

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