How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]
28
06, 2021
25
06, 2021
Recent and Upcoming Changes to 529 Plans
A 529 plan is a tax-advantaged savings plan designed to [...]
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
21
06, 2021
Schedule 13(d) and 13(g)
Sections 13(d) and 13(g) of the Securities Exchange Act of [...]
18
06, 2021
Custody Requirements
Previously on our blog we discussed situations where advisers are [...]
11
06, 2021
Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
9
06, 2021
FINRA Highlights Changes To eFOCUS Reporting Requirements For SBS Dealers
In 2019, the Securities and Exchange Commission (SEC) adopted amendments [...]
4
06, 2021
Brokers with a Disclosure History
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s [...]
30
04, 2021
Exclusions from Registration as an Agent
Agents are individuals in a sales capacity who represent broker-dealers [...]
23
04, 2021
Agent Registration Process
The USA defines an agent as any individual who represents [...]