7/20/2017
Needed new guidance on coming fixed income confirmation disclosure requirements has been released by FINRA. The guidance—in the form of 45 FAQs—is aim...
7/20/2017
FINRA’s focus on high-risk brokers and the payment of arbitration awards by firms and individuals continues at the SRO. On the heels of a July 18 Boar...
7/20/2017
At least in theory, supervisors are your front line of defense, the managers on the ground who monitor daily activities; while compliance writes polic...
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