The Financial Industry Regulatory Authority (“FINRA”) published its annual Regulatory and Examination Priorities letter, concentrating on specific areas of focus within five broad areas – high-risk and recidivist brokers, sales practices, financial risks, operational...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: January 2017
Recent Posts
- SEC adopts amendments to prevent misleading or deceptive fund names
- SEC charges YieldStreet and its subsidiary for misleading investors
- SEC using AI as part of surveillance and enforcement, Gensler says
- Judge approves settlement in lawsuit over Wells Fargo unauthorized accounts
- FINRA remote supervision proposal draws continued opposition
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