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
- FINRA enforcement chief outlines plans for protecting investors and markets
- SEC fines and censures 5 investment advisers over marketing rule violations
- OMB review completed on Department of Labor’s proposed fiduciary rule
- FINRA penalizes Florida broker-dealer and CEO over texting violations
- SEC charges Senvest Management with widespread recordkeeping violations
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