by Ashley Spencer | Nov 12, 2019 | FINRA
Brokers and firms should be familiar with the Regulation Best Interest (RBI) plan, implemented by the U.S. Securities and Exchange Commission (SEC). Firms have until June 30, 2020 to comply with RBI. Here’s a checklist to make sure your firm is compliant. Brokers who...
by Ashley Spencer | Oct 16, 2019 | Uncategorized
For investors, brokers and firms who are more flexible and looking for a faster solution, FINRA also provides mediation between two disputing parties. Mediation is an informal process where a “trained, impartial mediator facilities negotiations between disputing...
