Two Years Later, FINRA Still Prioritizing Regulation Best Interest (“Reg BI”)
Since FINRA implemented new Reg BI-related regulation requirements, it has identified a few areas for improvement and highlighted some of the best practices that member firms can use to remain in compliance.
What Financial Advisors Should Know About Recent FINRA Updates
It’s important for financial advisors to stay informed about the latest news and proposed rule changes the Financial Industry Regulatory Authority (FINRA) announces, as amended rules may impact you or your firm. Contact a securities law attorney to learn more.
Things to Know About Challenging and Enforcing Arbitration Awards
Seeking to have a FINRA arbitration award challenged or enforced can be a confusing and difficult process, so you should discuss your situation with a trusted securities law attorney to explore your options and identify the most strategic path forward.
Understanding the Latest Facts and Trends From FINRA
It can be difficult to keep up with the nuances of FINRA’s proposed rule changes, their potential impact, and the timeline for their implementation. A securities law attorney can answer your questions, address your concerns, and help you face the matter with greater clarity and confidence.
Understanding How FINRA’s Expungement Process Works
The Financial Industry Regulatory Authority (FINRA) allows brokers to seek an expungement of customer dispute information, but the process can be lengthy and stressful. Working with a legal professional who understands the ins and outs of the process is highly recommended.
A FINRA 8210 letter is essentially a formal request for documents or other information that may be relevant to a potential or ongoing FINRA investigation. Notify your firm right away and contact a knowledgeable FINRA defense attorney to ensure you move forward as strategically as possible.
The Lowdown on How FINRA Rule 4111 May Impact Financial Advisors and Member Firms
As FINRA’s “Evaluation Date” moves closer and new rule 4111 starts to take effect, it’s time to prepare for how it may impact member firms and financial advisors. Call a skilled securities law attorney today to learn more.
SEC Proposes New Rules to Revise Dealer Registration Requirements
The Securities and Exchange Commission (SEC) has proposed two new rules that aim to expand dealer registration requirements. Discuss the implications of these new rules with a skilled securities law attorney today to learn more.
Judex Law, LLC is a full-service securities and business law firm located in Broomfield, Colorado. We handle a range of securities law matters, including disclosures, broker/securities fraud and negligence, state regulatory defense, securities compliance, FINRA complaint expungement, and arbitration. We also help small businesses and startups with business formation, employment policies, operating agreements, partnership agreements, business taxes, and contracts.
Phone: (303) 523-4022
Broomfield, CO 80020 In-person consultations by appointment only.