Senior and Vulnerable Adult Client Protection: A Continuing Issue for the Securities Industry and Regulators

  If you are waiting until February 5th to implement procedures to protect senior and vulnerable adults because that is when the FINRA rule is effective, you may be risking a violation of current state regulations. In June and August 2017, the North American Securities Administrators Association (“NASAA”) published findings from a review of broker-dealer… READ MORE

State of Florida Offers Relief for Office Locations Affected by Hurricane Irma

On September 12, 2017, the Florida Office of Financial Regulation (“OFR”) issued an Emergency Order granting relief from certain provisions of Chapter 517, Florida Statutes to expedite the recovery and service the financial needs of communities affected by Hurricane. The relief will last for a period of 30 days unless terminated sooner by the Commissioner… READ MORE