Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
Recently FINRA released a Regulatory Notice reminding member firms that [...]
In 2019, the Securities and Exchange Commission (SEC) adopted amendments [...]
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s [...]
Act 20, known as the “Export Services Act”, provides tax [...]
In January of 2012, Puerto Rico passed legislation making it [...]
Institutional investment managers (“Managers”) must use Form 13F for reports [...]
Under rule 17a-14 under the Securities Exchange Act of 1934 [...]
Agents are individuals in a sales capacity who represent broker-dealers [...]
The USA defines an agent as any individual who represents [...]
The USA defines an agent as any individual who represents [...]