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 Rule 8210 is a regulation that allows the organization to request information and documents […]
Navigating the complex world of financial regulations can be a daunting task. One rule that often comes up is FINRA Rule 3270. This rule governs the outside business activities of financial advisors. It plays a crucial role in maintaining professional ethics and industry standards within the securities industry. The rule requires advisors to disclose any […]
Navigating the complex world of securities law can be daunting. Whether you’re an individual investor or a broker-dealer, understanding the intricacies of financial regulations is crucial. In Orange County, San Diego, San Francisco, and Los Angeles, lawyers focus on FINRA securities litigation. They offer expert legal advice and representation in securities arbitration and litigation cases. […]
Accuracy is paramount in financial services, especially for Registered Investment Advisors (RIAs). One of their key responsibilities is maintaining up-to-date customer information. This task is not just a regulatory requirement, but a cornerstone of effective service provision. The Securities and Exchange Commission (SEC) and state regulators follow practices mandated by the Advisers Act of 1940 […]
At Bakhtiari & Harrison, we understand the profound impact financial losses can have on investors, especially when those losses result from the misconduct or negligence of brokerage firms. Servicing Pasadena California Clients Our dedicated team of FINRA securities attorneys is committed to helping investors in Pasadena and its suburbs, including South Pasadena, Altadena, San Marino, […]