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– May 18, 2021 – The “expungement” process in which brokers facing complaints from aggrieved investors are allowed to erase all evidence of misconduct is surging out of control and just underwent its third major review by the PIABA Foundation and the Public Investors Advocate Bar Association (PIABA). After analyzing 700 expungements from August 1, 2019 to October 31, 2020, the two groups concluded FINRA’s proposed rules headed for May 28th review by the ...
securities association, and other federal or state authorities) for providing personalized... i • The potential impact of eliminating the broker-dealer exclusion from the definition of...
In contrast, a broker-dealer is not uniformly considered a fiduciary to its customers. 3 Broker-dealer conduct is 1 For the purposes of this request for comment, and as noted in Part III...
The National Futures Association (NFA) is an independent self-regulatory organization for the... exchange dealer (RFED), introducing broker (IB), commodity trading advisor (CTA) or...
Markets Association, you request assurances that staff of... the broker-dealer for recommendations, and has professionals who are independent representatives of their family clients....
At present, this means the person who wishes to engage in such business, i.e., a securities broker or dealer, must be a member of the National Association of Securities Dealers (“NASD”...
In recognizing these organizations, the CATA believes that all dealer members can benefit from the expertise and services that the selected organizations provide. CATA Recommended Consultants are independent organizations not tied to the sales process of any individual product or service and have agreed to offer spec ...