News – Compliance and Regulatory Alerts

Bates Research, Compliance and Regulatory Alerts  |  10-25-17

FINRA Update: New Arbitration Proposals, Identifying High Risk Brokers

In two notices issued last week, the Financial Industry Regulatory Authority addressed a few longstanding issues. First, FINRA proposed expanding the legal options available to investors when filing a claim against an inactive firm or associated person. Second, FINRA requested comments on allowing compensated non-attorney representatives to continue to represent customers in disputes between investors and broker-dealers. Comments on both are due December 18, 2017. In addition, FINRA Executive Vice President of Regulatory Operations Susan Axelrod (at left) offers insight on how FINRA is identifying high risk brokers.

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Compliance and Regulatory Alerts  |  08-31-17

OMB Approves DOL Fiduciary Rule Delay

On August 28, 2017, the Office of Management and Budget approved the Department of Labor’s (DOL) 18-month Fiduciary Duty Rule (Rule) delay request, extending the Transition Period and applicability of certain requirements and exemptions of the Rule until July 1, 2019.

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Compliance and Regulatory Alerts  |  10-28-15

Regulatory Alert

SEC's Division of Investment Management's recent initiatives to expand scrutiny of Registered Investment Advisers' Compliance and Risk Monitoring programs

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