SEC makes it official: Adviser switch delayed until March 30
Investment advisers who must migrate from regulation by the Securities and Exchange Commission to state oversight now will have extra time to make the transition.
‘Switch’ deadlines still could be in flux
The SEC's action last week in setting new deadlines for midsize financial advisers' switch to state registration should assuage many about the lack of a clear timetable
Finra asks SEC to OK all-public panels for arbitration disputes
Investors filing claims against brokerages would be able to request public arbitration panels without industry representatives under a proposal Finra announced Tuesday.