SEC Agrees to FINRA Rule Change to Allow All-Public Arbitration Panel
The SEC approved Tuesday FINRA's proposed rule change to give investors in all-FINRA arbitrations access to an all-public panel.
Outlook 2011, Regulation & Legislation: Advisors Brace for Dodd-Frank, New Committee Chairmen
Implementation of Dodd-Frank, new congressional chairmen and scores of compliance chores will keep advisors busy throughout the New Year.
NASAA’s Massey Aims to Influence Dodd-Frank Implementation
The newly christened president of NASAA, David Massey, spoke at NASAA's annual conference in Baltimore on Tuesday.