On-Line Trading and Brokerage Firm Liability
Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]
Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]
On June 30, 2020, the Securities and Exchange Commission (“SEC”) began enforcing Regulation Best Interest (“Reg BI”) and the use of the new Client Relationship Summary [...]