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We are building a new standard for measuring financial advisor product needs, best practices and mindset. Our platform makes it easier for financial advisors to have a say. It enables financial advisors to privately influence the development of products and business practices for today and the years ahead. The advisor is central in the conversation, because it is the advisor who ultimately is most affected by the outcome.
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The rapid growth of online panels for sampling and questioning has opened up dramatic new opportunities for collecting and disseminating information, it brings with it a number of privacy issues and regulations.
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FINRA Updates:
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Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. [SR-FINRA-2015-034]
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5 [SR-FINRA-2015-032]
Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook [SR-FINRA-2015-029]

 

SEC Updates:
What's New

Report on the Review of the Definition of "Accredited Investor"

SEC Issues Staff Report on Accredited Investor Definition [Dec. 18, 2015 | 2015-284]
SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies [Dec. 11, 2015 | 2015-276]
SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems [Nov. 18, 2015 | 2015-261]
SEC Announces Enforcement Results For FY 2015
Results Include Significant Number of High-Impact and First-of-their-Kind Actions [Oct. 22, 2015 | 2015-245]

 

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