The Law of the Financial Markets from Top Securities Lawyers
Tuesday, December 3, 2024
On February 15th, 2023, the Securities and Exchange Commission (SEC) announced its proposed rule changes to enhance protections for customer assets managed by registered investment advisers. If adopted, the changes would amend and redesignate rule 206(4)-2, the Commission’s custody rule, under the Investment Advisers Act of 1940, and amend certain […]
A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a generally positive attitude toward the RIA channel and signals a continuation of the migration trend.The findings from the 2019 Benchmarking and Independence report showed that 44% of brokers surveyed said the likelihood […]
