WebPrinter-Friendly Version. The SEC recently approved a set of FINRA rules for Capital Acquisition Brokers (“CABs”), described as corporate financing firms that generally limit their businesses to advising companies on mergers and acquisitions, advising issuers on raising debt and equity capital in private placements with institutional investors, and providing … WebNov 1, 2024 · 2024 News & News Releases. National Study by FINRA Foundation Explores the Changing Landscape of Investors in the United States (12/15/2024); UT Extension …
Amended FINRA Rule Will Require Margin for TBA …
WebThe latest news stories from the trade and consumer press. Financial Planning: LPL to launch private wealth advisor affiliation model in 2024. Think Advisor: LPL Adds $4.4B Bank Program With Nearly 30 Advisors. Investment News: Moody’s bumps up LPL debt to investment grade. Bloomberg: US Economy Shows Signs of Slowing as Fed Hikes Filter … WebAug 4, 2024 · FINRA’s Rule 2111 suitability standard generally applies to recommendations to rollover assets from an employer-sponsored retirement plan to an IRA if the rollover involves a securities transaction. For broker-dealers, the standard has now changed with the adoption of Regulation Best Interest, 17 C.F.R. § 240.15l-1. rds/dpglaw.co.uk
REPORT: Non-Attorney Representatives in FINRA Arbitration
WebMar 4, 2024 · With respect to customer cases heard virtually—or, more accurately, cases in which one or more evidentiary hearing sessions were held via Zoom—FINRA reports 136 such cases in 2024, up significantly from 30 in 2024. Claimants secured some amount of recovery in 60 of the 2024 cases (44 percent) and in 12 of the 2024 cases (40 percent). WebMar 21, 2024 · Morningstar, Inc. (Nasdaq: MORN), a leading provider of independent investment insights, today announced the winners of the 2024 U.S. Morningstar Awards for Investing Excellence. The awards recognize portfolio managers and asset management firms who demonstrate the industry's very best attributes, including investment skill and … WebOct 30, 2024 · LPL Financial. Today, LPL agreed to a settlement with the Financial Industry Regulatory Authority (FINRA) on historical compliance matters primarily related to anti-money-laundering (AML) reporting and … rds/b after hours stock price