Tag Archives: Dual Registration

Conflicts of Interest and Dual Registrants

November 1, 2016Legal AlertsConflicts of Interest, Dual RegistrationDaniel LeGaye

The Securities and Exchange Commission (the “SEC”) continues to pay close attention to the conflicts of interest that can exist in broker/dealers and investment advisory firms that share financial professionals … Continue reading Conflicts of Interest and Dual Registrants →

White Paper – Dual Registration and FINRA Supervision

May 10, 2010White PapersBroker-Dealer, Dual Registration, Investment AdviserDaniel LeGaye

As the financial services industry has evolved, the supervision of registered persons that are dually registered or affiliated, either with another broker-dealer, an investment adviser or other financial services firm … Continue reading White Paper – Dual Registration and FINRA Supervision →

Legal Alerts

SEC Undergoes Significant Policy Shift Amid Regulatory Rollbacks and Staffing Reductions
FINRA Proposes Broader Flexibility for Capital Acquisition Brokers (CAB)

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