B-Ds, RIAs face swarm of surprise regulations: Pershing
Pershing executives are warning about a bevy of new regulations and legislation that may blindside some B-Ds and RIAs
Officials at Pershing LLC are warning their broker-dealer and investment adviser clients about a host of new regulations coming down the road, some of which might be a surprise.
For example, brokerage firms will face new suitability rules and much broader trade reporting rules, whil
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