FINRA’s Arbitration and Mediation Page

Stockbroker Law - Tuesday, March 22, 2016
FINRA’s Arbitration and Mediation Page

Financial Industry Regulatory Authority maintains an arbitration and a mediation page on its website (https://www.finra.org/arbitration-and-mediat ..

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Sophisticated Investor Standard for Private Placements?

Stockbroker Law - Thursday, March 17, 2016
Sophisticated Investor Standard for Private Placements?

On December 18, 2015 the United States Securities and Exchange Commission issued a Report on the Review of the Definition of “Accredited Inv ..

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SEC Issues Report on Definition of Accredited Investor

Stockbroker Law - Tuesday, March 08, 2016
SEC Issues Report on Definition of Accredited Investor

On December 18, 2015 the United States Securities and Exchange Commission issued a Report on the Review of the Definition of “Accredited Inv ..

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Regulation 200 and Life Insurance Death Benefits

Stockbroker Law - Tuesday, March 01, 2016
Regulation 200 and Life Insurance Death Benefits

An investigation by the New York State Department of Financial Services resulted in the return of more than $1,000,000,000 of unpaid life insuranc ..

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FINRA Issues Guidance on Best Execution Obligations

Stockbroker Law - Tuesday, February 23, 2016
FINRA Issues Guidance on Best Execution Obligations

In FINRA Regulatory Notice 15-46 (https://www.finra.org/sites/default/files/notice_doc_file_ref/Notice_Regulatory_15-46.pdf) the Financial Industr ..

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