Tagged with "SIFMA"

FINRA to Start Closely Examining How Broker-Dealers are Complying with New Elder Abuse Rules

Posted on February 7th, 2019 at 1:09 PM
FINRA to Start Closely Examining How Broker-Dealers are Complying with New Elder Abuse Rules

During the annual Securities Industry and Financial Markets Association (SIFMA) event in New York, FINRA representatives made it clear that the agency will start probing broker-dealers' compliance with its new rules meant to protect elderly clients from financial abuse and exploitation.

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SIFMA Unveils Cyber Securities Tips

Posted on July 3rd, 2015 at 11:19 AM
SIFMA Unveils Cyber Securities Tips

A single security breach can have detrimental effects on a small advisory firm. Small firms often face more difficulty as they lack resources or technical expertise to implement a sound defense system. Luckily, government and industry officials have developed resources to help them get started. SIFMA has detailed a list of tips such as password tips, managing administrative privileges, and regularly backing up data.

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SIFMA Proposes Its Own Conduct Standard for Brokers

Posted on June 19th, 2015 at 11:44 AM
SIFMA Proposes Its Own Conduct Standard for Brokers

SIFMA has proposed its own version of an advisor conduct standard. While the Department of Labor released their own standard earlier this spring, SIFMA believes their newly-proposed standard is more workable.

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5 Key Economic Trends for 2015

Posted on January 30th, 2015 at 11:19 AM
5 Key Economic Trends for 2015

According to the forecast from the SIFMA’s Economic Advisory Roundtable, 2015 looks to be a continuation of the positive trends of 2014.

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LATEST NEWS AND ARTICLES

June 23, 2022
Former Credit Suisse Advisor Prevails in Deferred Compensation Claim

A former Credit Suisse advisor has prevailed on a $2.2 million arbitration claim after alleging that the firm improperly withheld his deferred compensation when it discontinued its U.S. brokerage business in 2015. 

 
 
June 23, 2022
Eccleston Law LLC Investigates Recovery Options for NRIA Investors

Headquartered in Secaucus, NJ, National Realty Investment Advisors (NRIA) recently declared bankruptcy amid investor redemption requests, federal and state investigations, and unsustainable debt.

 
 
June 22, 2022
SEC Charges Three Additional Advisors for Recommending Horizon Ponzi Scheme to Investors

The Securities and Exchange Commission (SEC) has filed suit against Michael Mooney, Britt Wright, and Penny Flippen pertaining to their engagement with a Ponzi scheme, which raised at least $110 million from nearly 400 investors.