On January 6, 2015, FINRA released its tenth annual Regulatory and Examination Priorities Letter (the “Letter”) identifying its areas of examination and focus for 2015. As a preliminary matter, FINRA indicated five global deficiencies of broker/dealers and registered...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: January 2015
Recent Posts
- SEC to hold roundtable discussion on executive compensation disclosure requirements
- New complaint filed in Chicago over age discrimination claims against Hightower
- Lawsuit filed against Vanguard over sharing of client data with third parties
- CFP Board launches new exam preparation tool powered by AI
- Many Gen Zers turning to social media for financial advice, survey finds
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