Publication highlights issues for financial advisers

Profitable Counsel

By James J. Eccleston

James J. Eccleston is a securities attorney, representing investors as well as brokers and brokerage firms nationwide in arbitration, litigation and regulatory matters. He maintains websites at EcclestonLaw.com and FinancialCounsel.com and a blog at FinancialCounsel.typepad.com. He is president of Eccleston Law Offices P.C. and can be reached at (312) 332-0000.

Posted October 8, 2015 3:08 PM

The Securities Industry/Regulatory Council recently published its firm element advisory (FEA). The purpose of the FEA is to highlight current regulatory and sales practice issues for possible inclusion in compliance and training programs at financial services firms.Let’s take a look at the more important categories.The first main category relates to alternative investments. The FEA notes that the Financial Industry Regulatory Authority (FINRA) has issued an investor alert on alternative funds to inform investors of …

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