SEC Weighs Harmonizing RIA, B/D Mandatory Arbitration Rules

Published on June 6, 2025

The commission’s Investor Advisory Committee recommended the SEC amend its advisor rules on mandatory arbitration clauses, though it didn’t ban them outright, as some investor advocates hoped.

Continue reading on website
Other news

Tax Bill's Bid to Ban New AI Rules Faces Bipartisan Blowback

June 6, 2025
A move to block states from enforcing new AI rules faces growing bipartisan objections.      Related StoriesMedicare Surfaces as Target for Cuts to Pay for Trump Tax BillFINRA Panel Orders Advisor to Pay Ameriprise $383KRobinhood Is a 'Prime Candidate' for S&P 500 Addition: BofA

Why Advyzon Chose to Partner, Not Build, to Boost Direct Indexing

June 6, 2025
Syntax Data's offering did everything Advyzon wanted and more, CIO Brian Huckstep says.      Related StoriesFocus Partners Acquires $9.4B RIA Firm in L.A.4 Pro Tips for Funding and Using 529 PlansThere's a Flaw in Early Social Security Claiming Data: Research