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Mark Schoeff Jr. and Dan Jamieson

Displaying 3 results

Topic

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.

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‘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

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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.