How to Answer a FINRA Rule 8210…
Published on July 31, 2020
So, you got a letter. From FINRA. It’s about an examination. It’s a Rule 8210 letter.…
Securities Law: What Investment Advisors Need to…
Published on July 23, 2020
On June 22, 2020, a ruling by The U.S. Supreme Court placed new limits on the…
Global Pandemic or Not, Regulation BI is…
Published on July 10, 2020
Despite the devastating effects of the Covid-19 pandemic on the country and the economy, on June…
FINRA Rule 2080: Expungement Changes Coming this…
Published on June 30, 2020
The rules around expungement for financial services professionals are changing this month. While this might sound…