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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.

Brian Shea

Broker-Dealers and RIAs face bevy of new regulations: Pershing

Posted by RJ and Makay on Jun 10, 2011

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Pershing LLC officials are warning their broker-dealer and investment advisor clients about new upcoming regulations, some of which may come as a surprise to them. At Pershing’s annual conference in Hollywood, Florida attended by broker dealer and RIA custody clients, the company outlined how broker dealers will face new suitability rules and much broader trade reporting rules.