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Securities law can often seem complex and shrouded in mystery, leading to many misconceptions and myths. Understanding the truth behind these myths is crucial for lawyers, investors, traders, and business owners. This guide aims to debunk ten common myths about securities law, providing clarity and insight into this essential field. Overview of Securities Law Securities […]
Investment fraud can have devastating effects on your financial well-being. It’s essential to understand how to protect yourself and seek the proper legal representation if you find yourself a victim. This article will guide you through the role of investment fraud lawyers, how they can help you, and what to look for in the best […]
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees brokerage firms and registered representatives in the securities industry. One of the tools that FINRA uses to carry out its regulatory functions is the FINRA Rule 8210 request. FINRA 8210 Requests Are A Common Investigative Tool FINRA Rule 8210 is a regulation that […]
The Financial Industry Regulatory Authority (FINRA) plays a pivotal role in ensuring the integrity of the brokerage industry and protecting investors. With the issuance of Regulatory Notice 22-31, FINRA underscores its commitment to these principles by providing guidance on practices that may indicate stock broker fraud or unethical behavior. As an investor, it’s crucial to […]
Determining whether specific arbitration agreements can override the general obligation to arbitrate at FINRA is crucial. This requires understanding regulatory rules, contractual agreements, and relevant legal cases. Understanding the nuances of these legal frameworks helps in comprehending how arbitration agreements interact with regulatory obligations. General Obligation Concerning Arbitration at FINRA FINRA Rule 12200 requires FINRA […]