State securities regulators are being pulled in different directions on their proposal to help harmed investors obtain award payments when they win arbitration cases. Generally, the financial industry ...

On August 8, 2023, the American Bar Association (“ABA”) House of Delegates voted overwhelmingly (216–102) to pass Revised Resolution 100 (the “Resolution”), which in turn revised ABA Model Rule of ...

KNOXVILLE, Tenn.--(BUSINESS WIRE)--Smartria®, a powerful, easy-to-use cloud-based software solution designed to meet the specialized compliance management needs of investment advisors, compliance ...

Q: What does the law say about an association rule that has not been enforced for years? What are the procedures the association board must take to enforce the rule? Can a management company fine a ...