DEFENDING YOUR PROFESSIONAL INTEGRITY
Stay current on recent changes in the regulatory environment
Everyone is scrambling to prepare to determine how the DOL Rule will affect them. Tens of millions, if not more, is being spent by broker-dealers preemptively to ascertain and reduce financial and legal exposure created by the Rule. But few are speaking to the individual brokers about what they can do to fortify themselves against attacks triggered by the Rule.
Below are three important facts that will help you protect your business and personal life from the unknown harm that the DOL Rule may bring:
The current environment reminds me of the time-tested adage, “When you and your friend are being chased by a bear, you don’t need to out run the bear. You only need to out run your friend.” Being proactive about minimizing or eliminating disclosures on your BrokerCheck profile provides your best odds of staying safe.
AdvisorLaw has a dedicated team of attorneys and staff whom specialize in representing brokers marred by disclosures. Contact me today if you or a colleague has disclosures on BrokerCheck that may qualify for expungement.
See our recent commentary in InvestmentNews here.
President, Managing Attorney
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This blog is my ongoing effort to inform and educate FINRA licensed professionals about the evolving regulatory ecosystem in which we operate.