The FINRA Board of Governors (the “Board”’) met in mid-September to discuss rulemaking items and initiatives. Among other issues, the Board authorized FINRA to file with the SEC proposed amendments to FINRA Rules 12805 and 13805 (Expungement of Customer Dispute...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: October 2015
Recent Posts
- White House executive order seeks to assert control over regulatory agencies
- Paul Atkins sworn in as new chairman of the Securities and Exchange Commission
- SEC awards $6 million to joint whistleblowers for assistance leading to enforcement action
- New initiatives, ‘FINRA Forward’, aimed at supporting members, markets and investors
- Recent FINRA awards highlight role of punitive damages in securities arbitration
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