Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities

Following recent examinations of SEC-registered investment advisers and broker-dealers, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published

On September 23, 2018, the North American Securities Administrators Association, Inc. (“NASAA”) released a proposed model rule for state-registered investment advisers (“state RIAs”) that would

Borden Ladner Gervais LLP

The Financial Industry Regulatory Authority (FINRA) is an independent, self-regulatory organization for brokerdealer firms doing business in the United States. FINRA is authorized by the United States Congress to protect American investors by making sure the broker-dealer industry operates