With developing regulatory requirements and risks involved in the financial services industry, broker-dealers need to know the latest developments in the SEC, FINRA and ERISA spaces.

Drinker Biddle’s Broker-Dealer Law Blog provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers. Contributors include experienced members of the firm’s ERISA, FINRA Arbitration, and SEC and Regulatory Enforcement Teams, who regularly counsel and defend broker-dealers.

Our goal is to give readers a better understanding of how new rules, including the DOL Fiduciary Rule and directives from the SEC, FINRA and the DOL, will affect their businesses as the issues evolve.

We encourage you to subscribe to the blog to receive the latest updates.

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