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FINRA Requires Brokerage Firms to Communicate with Customers when a Broker Leaves the Firm

FINRA Requires Brokerage Firms to Communicate with Customers when a Broker Leaves the Firm

Ask questions if your broker leaves his firm. According to new regulatory guidance from the Financial Industry Regulatory Authority, known...
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New ERISA Disability Claim Regulations – Part 9

New ERISA Disability Claim Regulations – Part 9

New ERISA Disability Claim Regulations – Part 9 On April 1, 2018, a new disability claim regulation came into effect....
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Senators Warner and Kennedy Introduce Bill to Expand SEC Powers to Assist Investors

Senators Warner and Kennedy Introduce Bill to Expand SEC Powers to Assist Investors

On March 14, 2019, Senators Mark Warner (D-Va.) and John Kennedy (R-La.), both members of the Senate Banking Committee, introduced...
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New ERISA Disability Claim Regulations – Part 8

New ERISA Disability Claim Regulations – Part 8

New ERISA Disability Claim Regulations – Part 8 On April 1, 2018, a new disability claim regulation came into effect....
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SEC Announces Results of Share Class Selection Disclosure Initiative

SEC Announces Results of Share Class Selection Disclosure Initiative

On March 11, 2019, the Securities and Exchange Commission announced that it had settled charges with 79 investment advisers who...
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Tax Deduction of Attorney Fees in Employee Benefits Cases Remains Unchanged

Tax Deduction of Attorney Fees in Employee Benefits Cases Remains Unchanged

Deductibility of Attorney Fees in Employee Benefits Cases Remains Unchanged The Tax Cuts and Jobs Act of 2017 changed the...
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North Carolina Issues Air Permit for Chemours to Install Thermal Oxidizer to Reduce PFAS Emissions

North Carolina Issues Air Permit for Chemours to Install Thermal Oxidizer to Reduce PFAS Emissions

On March 14, 2019, The North Carolina Department of Environmental Quality’s Division of Air Quality (“DAQ”) issued a permit to...
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New ERISA Disability Claim Regulations – Part 6

New ERISA Disability Claim Regulations – Part 6

New ERISA Disability Claim Regulations – Part 6 On April 1, 2018, a new disability claim regulation came into effect....
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FINRA Extends Deadline for Firms to Self-Report Violations under its 529 Share Class Initiative

FINRA Extends Deadline for Firms to Self-Report Violations under its 529 Share Class Initiative

FINRA has extended the deadline for firms to self-report violations under its 529 Plan Share Class Initiative. The Financial Industry...
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New ERISA Disability Claim Regulations – Part 5

New ERISA Disability Claim Regulations – Part 5

New ERISA Disability Claim Regulations – Part 5 On April 1, 2018, a new disability claim regulation came into effect....
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