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    • DOL Finalizes Investment Fiduciary Rule | JD Supra

      JD Supra· 2 days ago

      The Final Regulations take effect on September 23, 2024. While the final regulations are more narrow than both the regulations proposed last October and the final regulations that were invalidated ...

    • FINRA Facts and Trends: April 2024

      FINRA Facts and Trends: April 2024

      The National Law Review· 5 days ago

      This month, we report on FINRA’s first salvo against market-disrupting “FinFluencers,” a pivotal ruling that restricts who may be deemed a “customer”...