Client Communications

If your firm employs multiple clearing companies you may find one of them would gladly dish out attractive incentives for you to make it the ...

Look it as a Christmas gift from the SEC. Two days before the recent holiday, an East Coast adviser discovered an e-mail from the agency's ...

NFA has become aware of a practice utilized in the settlement of customer complaints and arbitration proceedings whereby, as a condition of settlement, a customer ...

This no-action letter from the SEC in 2007 concerns so-called hedge clauses in client indemnification agreements. The SEC withdrew this letter in 2019.