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InvestmentNews (July 19, 2017) - Board advances proposals to amend membership applications to allow the regulator to scrutinize troubled brokers, pending monetary awards

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InvestmentNews (July 7, 2017) - Finra may rethink its ban on class-action waivers in arbitration clauses, depending on whether the court sides with the Trump administration

If the...

WealthMangement.com (June 26, 2017) - Nevada was the first state to pass a fiduciary statute in the U.S. Other states are considering similar measures.

Nevada state Sen. Aaron Ford...