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
Archives
- May 2025
- April 2025
- March 2025
- February 2025
- January 2025
- December 2024
- November 2024
- October 2024
- September 2024
- August 2024
- July 2024
- June 2024
- May 2024
- April 2024
- March 2024
- February 2024
- January 2024
- December 2023
- November 2023
- October 2023
- September 2023
- August 2023
- July 2023
- June 2023
- May 2023
- April 2023
- March 2023
- February 2023
- January 2023
- December 2022
- November 2022
- October 2022
- September 2022
- August 2022
- July 2022
- June 2022
- May 2022
- April 2022
- March 2022
- February 2022
- January 2022
- December 2021
- November 2021
- October 2021
- September 2021
- August 2021
- February 2021
- August 2020
- May 2020
- April 2020
- March 2020
- August 2017
- July 2017
- June 2017
- March 2017
- February 2017
- January 2017
- December 2016
- November 2016
- October 2016
- July 2016
- March 2016
- February 2016
- January 2016
- October 2015
- July 2015
- June 2015
- May 2015
- April 2015
- March 2015
- February 2015
- January 2015
- December 2014
- October 2014
- September 2014
- August 2014
- July 2014
- June 2014
- May 2014
- April 2014
Categories
RSS Feed
