FINRA Guidance Helps Departing Brokers

On April 5, 2019, FINRA provided guidance on customer communications related to departing registered representatives.  The full text of the Regulatory Notice can be found here:  FINRA Regulatory Notice.   Member firms and registered representatives need to be aware of this…

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Another Call for Non-Compete Reform

In yet another call for non-compete reform, a group of unions, nonprofits and professors have asked the Federal Trade Commission to put an end to non-compete agreements across the United States.  The call was led by a group known as…

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