Rule Change to Require Registration as Securities Traders of Associated Persons

On February 11, 2016, FINRA filed with the SEC a proposed rule change to require registration as Securities Traders of associated persons primarily responsible for the design, development or significant... [...]

The Massachusetts Securities Division (the “Division”) recently published an interesting statement on Robo-advisers seeking state investment adviser registration in Massachusetts. Robo-advisers have flooded the market offering low-cost portfolio management through... [...]