Graham has been very helpful and prompt in all of my dealings with him. He has dealt with a range of matters and I would be happy to recommend his work. Richard Durrant, Partner, Boys & Maughan Solicitors. Conscientious and helpful
Since solicitors will need to registered as an investment adviser or a broker/dealer or a municipal advisor. Part of the rule was reliant on FINRA coming up with a rule to meet the requirements under the definition of “registered person” in 206(4)-5(f)(9)(ii)(B) for broker-dealers...
In addition to modifying the advertising rule, the SEC is including a revision to the cash solicitation rule, Rule 206(4)-3. The premise of that rule was to male sure clients were aware that paid solicitors have a conflict of interest. We are proposing to expand the rule to apply to th...