Investor Protection

Importantly, notwithstanding the remote but not unprecedented possibility of a final DOL rule being repealed via the Congressional Review Act, it is unlikely that Congress will directly impact [...]

"The conversation about the accredited investor definition and the conversation about the growth of private markets and about the decline in the number of publicly listed companies and IPOs have [...]

In much the same way that advances in technology have made more complex products available in the marketplace, advances in technology have also enabled broker-dealers to employ new tools to [...]