Hugh Kennedy
FINRA has moved to tackle the issue of unpaid customer arbitration awards. Acknowledging that it can be difficult for customers to collect from broker-dealers or ...
All eyes and ears trained on the SEC’s two commissioner nominees when they appeared before the Senate Banking Committee on Oct. 24. Despite the nominee ...
The SEC continues to fill key senior key positions that should result in increased rulemaking. The latest move was the Oct. 18 Commission announcement that ...
Complex products bring with them special supervision, suitability and rep training obligations. Volatility-linked exchange-traded products fit squarely into this bucket and recently led to two ...
The modernization and simplification of required disclosures for investment advisers, investment companies and public companies was the order of business during the first open meeting ...
For SEC nominee Hester Peirce it looks like the long wait for a confirmation hearing on Capitol Hill is almost over. Confirmation hearings for both ...
How safe is the safe harbor FINRA is promising you under new rule 2165 (financial exploitation of specified adults)? Jim Wrona, FINRA vice president and ...
The SEC approved Oct. 5 FINRA’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the ...
A New York-based investment adviser reported to his clients last June total assets of at least $21.8 million. Authorities allege the reality was decidedly different. ...