Month: May 2020

Impact of COVID-19 on Regulatory Investigations

As a FINRA Associated Person (“Broker”) or an Investment Advisor Representative (“IAR”), you know about COVID-19 and [...]

May 26, 2020

by Owen Harnett

Impact of “Reg BI” on Expungement for Investment Advisors Representatives

As most Investment Advisor Representatives (“IARs”) are required to uphold the fiduciary standards to their clients, [...]

May 23, 2020

by Owen Harnett