FSI Releases 2014 Advocacy Agenda
We recently released our Advocacy Agenda for 2014, with a focus on the following issues: Protecting firm and client data. FINRA’s CARDS proposal could pose significant data security risks to […]
We recently released our Advocacy Agenda for 2014, with a focus on the following issues: Protecting firm and client data. FINRA’s CARDS proposal could pose significant data security risks to […]
Independent financial advisors face an avalanche of regulation when it comes to their businesses. Of the many agencies that regulate advisors, they engage more often with FINRA than any other […]
Being sued by your client. Not a desirable place to be, regardless of your industry. For independent financial advisors, the FINRA Code of Arbitration Procedure is the bible that provides […]