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
- 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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