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What is a security?

A security is a form of ownership in an entity.While some believe that in order to be a security the…

What is Securities Arbitration?

Arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970's, FINRA…

Millennials Are a ‘Generation Lost’ When It Comes to Financial Matters

Millennials are a “generation lost,” according to a new study, and are in for a tough time when they finally…

Tepper: Believers of SunEdison rumor must be high

Billionaire David Tepper tells CNBC that investors who bought into rumors he might take a position in SunEdison must be…

FINRA Approves Rule to Protect Seniors and Other Vulnerable Adults from Financial Exploitation 

FINRA announced a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation. The proposal…

Promises of Indestructible Wealth

According to the SEC's complaint,  Online videos designed to attract investors to attend investment seminars were posted with such titles…

Barclays Financial Advisers Split, Forming $3 Billion Independent Firm

A half dozen financial advisers from Barclays PLC’s U.S. wealth-management group, including its former head, have left the firm to…

Same-Sex Court Ruling Answers And Creates Questions For Advisors

The Supreme Court's ruling in Obergefell vs. Hodges which permits same-sex marriages across the country is not only a landmark…

Stifel Grabs Advisors With $285M AUM

Recruiting and broker transition continue at Stifel. Today they announced that three advisers, with $285 million AUM joined from Janney…

The Securities Law Letter

The Securities Law Letter is a monthly email newsletter, containing the latest news, commentary, rule proposals and amendments, as well…