11/22/2017
FinTech innovations, it is often said, have the potential to transform key parts of the securities industry. While healthy skepticism still seems warr...
11/22/2017
A last minute request by the national securities exchanges and FINRA to extend the CAT plan’s compliance date for reporting data to the central reposi...
11/16/2017
FINRA’s latest exam sweep focuses on broker-dealers’ receipt of order routing inducements and potential conflicts of interest. The SRO is looking to d...
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