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FINRA Updates Registration Rules, NFA Writes Disclosures for Virtual Currencies and SEC Stays Busy with Actions against RIAs: Regulatory Update for September 2018

SEC Goes Ahead with Administrative Proceedings:   With little fanfare, the SEC issued an order to terminate its previous stay on pending administrative proceedings before its Administrative Law Judges (“ALJ”) on…

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Regulatory Update August 2016

REMINDER: FINRA members’ websites must include hyperlink to BrokerCheck.  Effective June 6, 2016, FINRA Rule 2210 (Communications with the Public) requires websites of broker-dealers to include a “readily apparent reference…