Hugh Kennedy
New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities
The number of individual investors working with advisers has grown nearly 40% over the past two years
Feedback sought on younger, novice investors and those not working with a registered investment professional
New FINRA regulatory notice focuses on minimum equity
The SRO suggests broker-dealers review their account approval P&Ps to ensure compliance
The CAT has been determined to meet the standards approved by the SEC
SRO expanding its recruiting efforts to ensure attracting candidates with diverse skill sets
Results show need for greater representation of women and minorities in all levels of asset management
Gensler has asked SEC staff to make best execution recommendations
E-mail claims that "late submissions may attract penalties."