Navigating California securities laws can be daunting for financial advisors, small business owners, and law students. This step-by-step guide aims to simplify the process, offering essential insights into understanding and complying with California securities laws. Overview of California Securities Laws California securities laws regulate the offer, sale, and purchase of securities within the state. These […]
Securities law is a critical field for aspiring lawyers, financial professionals, and small business owners. Understanding and mastering securities law can help you navigate the complex world of financial markets, protect investors, and ensure compliance with regulations. In this blog, we’ll explore seven straightforward steps to becoming a master of securities law, breaking down complex […]
Investing in the stock market can be rewarding, offering the potential for substantial returns and long-term financial security. However, when things go wrong due to the actions or inactions of a stockbroker or financial advisor, it can lead to significant financial losses and emotional distress. If you find yourself in such a situation, you might […]
The Department of Labor timeline for releasing the proposal for an expanded fiduciary duty for advisors who work with retirement plans has been delayed. Speaking at the Financial Services Institute’s Financial Advisor Summit, Phyllis Borzi, the Labor Department’s assistant secretary for the Employee Benefit Security Administration, said that her agency is continuing to revise its proposal, and that […]
New rules that could require certain brokers to act in the best interests of clients should enhance laws already in place for some financial advisers, a coalition of investor advocacy and trade groups wrote late on Thursday. The letter to Securities and Exchange Commission Chairman Mary Schapiro from groups that include the Consumer Federation of […]